OCIE

AcronymDefinition
OCIEOffice of Compliance Inspections and Examinations (SEC)
OCIEOrganizational Clothing & Individual Equipment
OCIEOnline Computer Information Exchange
OCIEOklahoma Council for Indian Education
References in periodicals archive ?
While the Risk Alert does not address all the weaknesses the OCIE staff identified, it sets forth the most frequent deficiencies found by the staff in connection with the Safeguards Rule:
United States : OCIE Issues Risk Alert Regarding Advisers and Broker-Dealers Failing to Comply with Regulation S-P
The group plans to conduct exams targeting "circumstances in which retail investors may have been harmed and reviewing whether financial service professionals have met their legal obligations," according to OCIE Director Pete Driscoll.
Why It's Time to Prep for SEC Exams
OCIE noted that the 2018 list is "not exhaustive," and that "additional priorities may be added in light of market conditions or as OCIE identifies emerging risks and trends."
SEC Releases 2018 Exam Priorities List
OCIE's 2017 examination areas are informed in part by OCIE's priorities from 2016 and will focus centrally on:
SEC's OCIE Announces Examination Priorities for 2017
OCIE and NERO conducted two separate, independent examinations of Madoff.
The Gordon Gekko effect: The role of culture in the financial industry
Although the OCIE indicated that the list is not exhaustive, the affected professionals are recommended to review and update their compliance practices based on the specified areas mentioned in preparation for a SEC examination.
Daniel G. Viola, Partner, Sadis Goldberg, LLP to Speak at KC's The SEC 2016 Examination Priorities: Exploring Recent Trends and Developments Live Webcast
Phase One kicked off in In April 2014, when OCIE published their initial announcement on the program as part of their vision for improving cyber security for the securities and financial markets.
Risk assessment focuses on cybersecurity after SEC risk alert
OCIE staff will use data analytics, information from prior examinations and examiner-driven due diligence to identify registrants to be reviewed.
SEC's ReTIRE Initiative
One such project used LSS to optimize the theater-level organizational clothing and individual equipment (OCIE) inventory, resulting in cost avoidance, improved processes, and a right-sized inventory.
Optimizing OCIE in Europe using Lean Six Sigma
After arriving at the adviser's office, the OCIE staff members will present their official credentials and ask to meet with the compliance officer, the corporate officer who signed form ADV or some other appropriate employee or officer.
When the SEC knocks ... What every investment adviser should know
All new soldiers had to be equipped with organizational clothing and individual equipment (OCIE), but the ll4th had deployed with a shortage of OCIE.
Integrating active and reserve component military police soldiers at Fort Hood
OCIE responds to the personal needs of each user providing fast, easy information access while at the same time satisfying mandates for compliance, security, audit control, business and process modernization, and operational cost savings.
The role of fixed content management in business and process modernization
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