Home      Login

Abstract: 

Over the past decade, the SEC has expanded its use of data analytics across both the Examinations and Enforcement programs, both to improve oversight of the market and to mitigate resource constraints. The article begins by tracing the evolution of the SEC’s data analytics program through the lens of statements made by SEC leadership. From there, the article takes a closer look at the ways in which the SEC has leveraged data analytics as a tool to identify examination candidates and synthesize information during examinations. It closes with a discussion of recent trends in enforcement investigations, looking at several recent initiatives driven by the use of data analytics.

Keywords: SEC Division of Examinations; Market Abuse Unit; Crypto and Cyber Assets Unit; Climate and ESG Task Force; Retail Strategy Task Force; EPS and ETP Initiatives

Affiliations:  1: Debevoise & Plimpton LLP; 2: Debevoise; 3: Debevoise; 4: Debevoise.