On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced that it will conduct its examinations of SEC registrants through correspondence, unless it is absolutely necessary to be on-site. On the same day, the co-directors of the Division of Enforcement issued a statement underscoring the importance of maintaining and following corporate controls and policies. Notwithstanding current remote work environments, the staff of both OCIE and the Division of Enforcement remain committed to their mission of protecting investors.
