Office of Compliance Inspections and Examinations

The Office of Compliance Inspections and Examinations (OCIE) is a part of the U.S. Securities and Exchange Commission (SEC) that oversees and evaluates financial firms and investment advisers. Its main role is to ensure these entities comply with laws and regulations designed to protect investors. OCIE conducts regular inspections and examinations, looking for potential violations or risks. By doing this, it helps promote transparency and accountability in the financial industry, fostering a safer investment environment for the public.