All Office of Compliance Inspections and Examinations articles
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ArticleSEC examinations head Peter Driscoll to depart
The Securities and Exchange Commission announced Peter Driscoll, the director of the Division of Examinations (formerly OCIE), will leave the agency in August.
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ArticleOCIE director’s warning: Insufficient CCO support won’t fly
In a year turned upside down by the coronavirus pandemic, one thing hasn’t changed in the eyes of the SEC: The best compliance programs are supported by senior management and have adequate staffing, technology, and training.
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ArticleTraining, conflict of interest early pain points of Reg BI compliance
Financial institutions complying with the SEC’s new Regulation Best Interest standard have particularly struggled with training staff and how to identify and eliminate potential conflicts of interest, regulators said during an online forum.
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ArticleOCIE risk alert offers coronavirus-related advice to investment, brokerage firms
Many of the coronavirus-related risks recently highlighted by the Office of Compliance Inspections and Examinations are well-known, but the agency made a point of mentioning fees and expenses.
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ArticleNew SEC division to coordinate response between OCIE, regional offices
The Securities and Exchange Commission announced the creation of a new division designed to bolster compliance with securities laws among firms working with the agency’s regional offices.
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ArticleOCIE issues ransomware alert to financial services
The SEC’s Office of Compliance Inspections and Examinations is advising financial firms to beware of a rise in more sophisticated ransomware attacks.
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Article‘Perennial’ risks comprise OCIE’s 2020 examination priorities
The SEC’s Office of Compliance Inspections and Examinations’ priorities in 2020 foster its risk-based approach and find room for both Main Street investors and innovation.
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Blog
OCIE: Mitigating the risks of electronic messaging systems
Registered investment advisers will want to pay attention to some recent observations shared by the Office of Compliance Inspections and Examinations following an examination initiative it conducted that offers some key insights for firms to consider to strengthen their supervisory, compliance, and risk-management practices related to the use of electronic ...
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Blog
Kristin Snyder named deputy director of OCIE
The Securities and Exchange Commission on July 25 announced that Kristin Snyder has been named deputy director of the agency’s Office of Compliance Inspections and Examinations.
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Blog
SEC names chief risk and strategy officer of the OCIE
The SEC has named James Reese as chief risk and strategy officer of the agency’s Office of Compliance Inspections and Examinations. Reese has served as acting chief since February 2017.