By Bradley Bondi and Michael Wheatley ( May 29, 2018, 2:58 PM EDT) -- In recent years, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations has increased its examination efforts and has served as a powerful resource for the SEC's Division of Enforcement.[1] As the role of OCIE seems to have shifted to a more investigative function aimed at reporting potential violations to Enforcement, broker-dealers and investment advisers must exercise caution in their interactions with OCIE examiners. This article provides background on OCIE examination programs and practical advice when facing an OCIE examination.[2]...
Law360 is on it, so you are, too.
A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.
A Law360 subscription includes features such as
- Daily newsletters
- Expert analysis
- Mobile app
- Advanced search
- Judge information
- Real-time alerts
- 450K+ searchable archived articles
And more!
Experience Law360 today with a free 7-day trial.