Despite New Name, Compliance Still Key To SEC Exams Unit

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By Al Barbarino (March 31, 2022, 9:12 PM EDT) — The U.S. Securities and Exchange Commission’s examinations division may have dropped the word “compliance” from its name, but its leadership sought to assure companies and the investing public this week that it remains squarely focused on promoting compliance, empowering compliance officers and engaging in industry outreach. 

In December 2020, the SEC changed the name of its exams unit from the Office of Compliance Inspections and Examinations to the Division of Examinations, at the time attributing it to the “growing breadth and complexity of the division’s responsibilities.” 

But, according to a memo from the unit’s new leadership in this week’s 2022 priorities…

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