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.)

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

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