Office of Compliance Inspections and Examinations
E22976
The Office of Compliance Inspections and Examinations is a division of the U.S. Securities and Exchange Commission responsible for conducting examinations of securities firms and other regulated entities to assess compliance with federal securities laws.
Aliases (1)
Statements (46)
| Predicate | Object |
|---|---|
| instanceOf |
division of a government agency
→
regulatory oversight body → |
| appliesTo |
broker-dealers
→
investment advisers → investment companies → registered entities under federal securities laws → securities firms → |
| collaboratesWith |
Division of Enforcement of the SEC
→
Division of Investment Management of the SEC → Division of Trading and Markets of the SEC → |
| country |
United States of America
→
|
| employer |
SEC examination staff
→
|
| field |
compliance oversight
→
financial regulation → securities regulation → |
| goal |
to detect violations of securities laws
→
to foster compliance with federal securities laws → to prevent harm to investors → |
| industry |
securities industry
→
|
| jurisdiction |
federal securities markets of the United States
→
|
| legalBasis |
Investment Advisers Act of 1940
→
Investment Company Act of 1940 → Securities Exchange Act of 1934 → federal securities laws of the United States → |
| locatedIn |
Washington, D.C.
→
|
| oversightOf |
broker-dealers registered with the SEC
→
national securities exchanges to the extent of examination authority → registered investment advisers → registered investment companies → self-regulatory organizations to the extent of examination authority → |
| parentOrganization |
SEC
→
U.S. Securities and Exchange Commission → |
| partOf |
regulatory program of the U.S. Securities and Exchange Commission
→
|
| purpose |
to assess compliance with federal securities laws
→
to conduct examinations of regulated entities → to improve compliance in the securities industry → to promote investor protection → |
| regulates |
entities registered with the SEC for compliance examinations
→
|
| regulatoryScope |
federally registered securities market participants
→
|
| responsibility |
conducting cause examinations based on specific concerns
→
conducting risk-based examinations → conducting routine examinations of regulated entities → identifying weaknesses in compliance programs of registrants → making referrals to SEC enforcement staff when appropriate → |
| sector |
public sector
→
|
| uses |
risk-based methodologies to select examination targets
→
|
Referenced by (2)
| Subject (surface form when different) | Predicate |
|---|---|
|
DERA
("Office of Compliance Inspections and Examinations of the SEC")
→
Division of Investment Management → |
collaboratesWith |