Office of Compliance Inspections and Examinations (OCIE)

The Office of Compliance Inspections and Examinations (OCIE) is a division of the U.S. Securities and Exchange Commission (SEC) that oversees and ensures compliance among financial firms, such as investment advisers and broker-dealers. OCIE conducts inspections and examinations to assess whether these entities are following securities laws and regulations. Its goal is to protect investors, maintain fair markets, and promote confidence in the financial system by identifying potential issues and helping firms adhere to legal standards. Essentially, OCIE acts as a watchdog to ensure that financial practices are conducted ethically and transparently.