Securities and Exchange Commission Historical Society
Program

From OCIE to the Division of Examinations: A Leadership Perspective on the Past and Future of the SEC Examinations Program


The SEC’s Office of Compliance Inspections and Examinations (OCIE) was formed in 1995, consolidating all of the Commission’s examination and inspection activities in a single unit. On December 17, 2020, OCIE was renamed the Division of Examinations. It is now the Commission’s second largest unit, with more than 1,000 employees, operating in Washington, DC and each of the Commission’s 11 regional offices. Please join the Securities and Exchange Commission Historical Society on Tuesday, October 11 for a special program focused on the recent evolution of OCIE to the Division of Examinations. (CLE credit in NJ, NY, and PA will be offered for in-person attendance.)

When?

Tuesday, October 11
  • 4:30 - Registration
  • 5:00 - Panel Discussion
  • 6:00 – Reception

Where?

Morgan Lewis
101 Park Avenue
New York, NY 10178

Registration (To attend in person)
No registration necessary to view the webast live on this website on October 11 at 5:00 PM (ET).

Topics

  • Major transformations in industry, the marketplace and technology that Office/Division leaders have seen in the past few years, and what they have done to keep pace.
  • Cause/effect of SEC exams on the maturation of compliance and compliance officers.
  • How its risk-based focus works to identify emerging industry risks and how those risks have changed over time
  • How communication of findings to the Commission, other offices and divisions, investors, and the markets has evolved.
  • Advantages of the Division of Examinations' "regional office" focus.
  • Trends, risks, and challenges its current and former leaders see for the future of the national exam program.

Panelists

  • RICHARD R. BEST, Director, SEC Division of Examinations
  • G. JEFFREY BOUJOUKOS, Partner, Morgan Lewis; Former Director, SEC Philadelphia Regional Office (Moderator)
  • DANIEL S. KAHL, Partner, Kirkland & Ellis; Former Acting Director, Division of Examinations
  • JOY G. THOMPSON, Associate Regional Director, Division of Examinations, SEC Philadelphia Regional Office

This program is made possible with a grant from Morgan, Lewis, and Bockius, LLP.


Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.