Event of Interest: Morgan Lewis, SEC Historical Society Program on the Evolution of the Division of Examinations
On Tuesday, October 11 at 5:00pm ET Morgan Lewis and the SEC Historical Society plan to hold an event titled “From OCIE to the Division of Examinations: A Leadership Perspective on the Past and Future of the SEC Examinations Program.” 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. Later, in 2020, it was renamed the Division of Examinations. The program is expected to cover:
- Major transformations in the industry, the marketplace, and technology that Office/ Division leaders have seen and how they have kept up;
- How the Division of Examinations’ risk-based focus works to identify emerging industry risks and how those risks have changed over time; and,
- How communications of the Division of Examinations’ findings to the Commission, other offices and divisions, investors, and the markets have evolved.