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Please join the US Securities and Exchange Commission (SEC) Historical Society for a special program focused on the evolution of the Office of Compliance Inspections (OCIE) to the Division of Examinations.
The SEC’s OCIE was formed in 1995 by then-Chairman Arthur Levitt, consolidating all the Commission’s examination/inspection activities into a single unit. Operating for over 25 years, OCIE was renamed the Division of Examinations in 2020. It is 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. Topics will include: Major transformations in the industry, the marketplace, and technology that Office/ Division leaders have seen and how they have kept up Maturation of compliance and compliance officers in the industry and parallels or cause/effect of SEC exams How the Division of Examinations’ risk-based focus works to identify emerging industry risks and how those risks have changed over time How communications of the Division of Examinations’ findings to the Commission, other offices and divisions, investors, and the markets have evolved The advantages of the Division of Examinations’ regional office focus Credit CLE credit in PA, NJ (via reciprocity), and NY is currently pending approval. CLE credit is offered for in-person attendance only.	to attend in person Live webcast available at www.sechistorical.org When Tuesday, October 11, 2022 4:30 pm ET | Registration 5:00 pm ET | Panel Discussion 6:00 pm ET | Reception Where Morgan Lewis 101 Park Avenue New York, NY 10178 Proof of vaccination is required to enter our offices. Speakers Richard R. Best Director, SEC Division of Examinations 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 Moderator G. Jeffrey Boujoukos Partner, Morgan Lewis Former Regional Director, SEC Philadelphia Regional Office Questions? Please email Maya Burke-Mount.
The webcast is free and open to the public. No registration is necessary to view the live webcast. This presentation is made possible with the support of Morgan Lewis.
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