Posts in Office of Compliance Inspections and Examinations (OCIE).

The Office of Compliance Inspections and Examinations (OCIE) released a risk alert outlining findings of examinations it conducted as part of its Supervision Initiative...

In a speech given in late April, Peter Driscoll, Director of the Office of Compliance Inspections and Examinations (OCIE), discussed the importance of cooperation among compliance officers, senior management, and the OCIE to promote compliance and more effectively protect...

Information technology continues to provide amazing benefits to our industry, but it also brings with it a number of risks when it comes to compliance. Changes in the way mobile and personally owned devices are being utilized for business...

Though we've known ever since the SEC released its exam priorities for 2018 that cybersecurity would continue, as in years past, to be a priority, the SEC's Office of Compliance Inspections and Examinations ("OCIE") recently announced a plan for a...

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