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The regulator has created the Office of Risk and Strategy within OCIE in an effort to bolster risk analysis and surveillance.
The SEC has created the Office of Risk and Strategy within its Office of Compliance Inspections and Examinations (OCIE) in order to consolidate OCIE’s risk assessment, market surveillance, and quantitative analysis teams, SEC officials say. The streamlining effort is intended to bolster operational risk management and organizational strategy for OCIE, officials add. The effort is...
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