• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Ankura 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / Office of Risk Assessment

Office of Risk Assessment

SEC Announces New Division of Risk, Strategy, and Financial Innovation

SEC Announces New Division of Risk, Strategy, and Financial Innovation

By Securities Docket on September 16, 2009, 5:05 pm

New division combines Office of Economic Analysis and the Office of Risk Assessment.

Posted in SEC | Tagged Office of Risk Assessment, Risk Strategy and Financial Innovation

SEC’s Office of Risk Assessment Looks to Ramp Up With “Seasoned Financial Experts”

By Securities Docket on April 30, 2009, 12:38 pm

The SEC’s seemingly “on again, off again” risk assessment efforts are back in the spotlight, as the SEC announced today that it is embarking on a new effort to attract industry professionals to the Office of Risk Assessment. The SEC announced a new “Industry and Markets Fellows Program” intended to help it “oversee complex industry […]

Posted in SEC | Tagged Office of Risk Assessment

SEC’s Office of Risk Assessment: Withered, but Revitalized in 2008

By Securities Docket on December 24, 2008, 7:43 am

Today’s in-depth Washington Post interview with SEC Chairman Christopher Cox includes a discussion of the reduction of the SEC’s Office of Risk Assessment from seven people to one person during Cox’s tenure.  It states: Another staffing shift was underway at the Office of Risk Assessment, formed by Cox’s predecessor, William H. Donaldson, to spot emerging […]

Posted in SEC | Tagged Office of Risk Assessment

The SEC’s ORA Reloaded, Part II: Interview with Jonathan Sokobin

By Securities Docket on October 31, 2008, 9:52 am

Part II of my interview with Jonathan Sokobin, Director of the SEC’s Office of Risk Assessment, is now available on my Enforcement Action blog over at Compliance Week (click here). Part II addresses why some at the agency believe Lynn Turner’s recent criticism of the SEC in his Congressional testimony was gratuitous, as well as […]

Posted in SD Insider | Tagged Features, Office of Risk Assessment, Regulators | 1 Response

The SEC’s Office of Risk Assessment: Reloaded

By Securities Docket on October 29, 2008, 1:22 am

»Lynn Turner, October 7, 2008 Congressional testimony: “At the SEC, the Office of Risk [Assessment] had been reduced to an office of one by February of this year.” »SEC Chairman Christopher Cox, October 23, 2008 Congressional testimony: “The Office of Risk Assessment when I came to the SEC had seven people. It has seven people […]

Posted in SD Insider | Tagged Features, Office of Risk Assessment

The SEC’s Office of Risk Assessment: An Army of One

The SEC’s Office of Risk Assessment: An Army of One

By Securities Docket on October 7, 2008, 7:09 pm

“When that [one] person would go home at night he could turn the lights out.” — Lynn Turner Wait — did I just hear Lynn Turner, former chief accountant of the SEC, testify before Congress that as of February 2008 the SEC’s Office of Risk Assessment had been reduced to … one person?  Read this post […]

Posted in SD Insider | Tagged Features, Office of Risk Assessment | 1 Response

Subscribe

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2022 Securities Docket.

Powered by WordPress and Hybrid.