Best Practices For Interacting With SEC Examination Staff
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. 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.
OCIE administers the SEC's National Exam Program, or NEP, for registered entities. The goal of the NEP...
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