OCIE Director Drew Bowden On Exams, CCO liability and more

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IA Watch was able to get Drew Bowden, the Securities and Exchange Commission’s Director of the Office of Compliance Inspections and Examinations, to sit down for an interview. “The best thing [CCOs] can do is to be organized, be responsive and be helpful to the examination staff”. This can be measured by how timely you produce requested documents. “It’s most helpful” when firms begin an exam by educating examiners “about the nature of their business [and] what they’re trying to accomplish from a business perspective,”

Portions of the interview are available for your viewing:

IA Watch Interviews Drew Bowden, Part 1

IA Watch Interviews OCIE Director Drew Bowden, Part 2


IA Watch Exclusive: OCIE Director Drew Bowden talks exam do’s and don’ts, CCO liability and more
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