Office of Compliance Inspections and Examinations
E22976
The Office of Compliance Inspections and Examinations is a division of the U.S. Securities and Exchange Commission responsible for conducting examinations of securities firms and other regulated entities to assess compliance with federal securities laws.
All labels observed (3)
How this entity was disambiguated
This entity first appeared as the object of triple T182045 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Office of Compliance Inspections and Examinations Context triple: [Division of Investment Management, collaboratesWith, Office of Compliance Inspections and Examinations]
-
A.
Office of the Comptroller of the Currency
The Office of the Comptroller of the Currency is a U.S. federal agency that charters, regulates, and supervises national banks and federal savings associations to ensure the safety and soundness of the banking system.
-
B.
Office of Enforcement and Compliance Assurance
The Office of Enforcement and Compliance Assurance is the U.S. EPA division responsible for enforcing federal environmental laws and ensuring regulated entities comply with environmental standards.
-
C.
Office of Inspector General
The Office of Inspector General is an independent oversight body within the U.S. Department of the Interior responsible for auditing, investigating, and preventing fraud, waste, and abuse in the department’s programs and operations.
-
D.
Office of Inspector General
The Office of Inspector General is an independent oversight body within the U.S. Department of Transportation that conducts audits and investigations to prevent waste, fraud, and abuse and to promote efficiency and integrity in the department’s programs and operations.
-
E.
Office of Inspector General
The Office of Inspector General is an independent oversight body within the U.S. Department of Labor responsible for auditing, investigating, and preventing fraud, waste, and abuse in the department’s programs and operations.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Office of Compliance Inspections and Examinations Target entity description: The Office of Compliance Inspections and Examinations is a division of the U.S. Securities and Exchange Commission responsible for conducting examinations of securities firms and other regulated entities to assess compliance with federal securities laws.
-
A.
Office of the Comptroller of the Currency
The Office of the Comptroller of the Currency is a U.S. federal agency that charters, regulates, and supervises national banks and federal savings associations to ensure the safety and soundness of the banking system.
-
B.
Office of Enforcement and Compliance Assurance
The Office of Enforcement and Compliance Assurance is the U.S. EPA division responsible for enforcing federal environmental laws and ensuring regulated entities comply with environmental standards.
-
C.
Office of Inspector General
The Office of Inspector General is an independent oversight body within the U.S. Department of the Interior responsible for auditing, investigating, and preventing fraud, waste, and abuse in the department’s programs and operations.
-
D.
Office of Inspector General
The Office of Inspector General is an independent oversight body within the U.S. Department of Transportation that conducts audits and investigations to prevent waste, fraud, and abuse and to promote efficiency and integrity in the department’s programs and operations.
-
E.
Office of Inspector General
The Office of Inspector General is an independent oversight body within the U.S. Department of Labor responsible for auditing, investigating, and preventing fraud, waste, and abuse in the department’s programs and operations.
- F. None of above. chosen
Statements (46)
| Predicate | Object |
|---|---|
| instanceOf |
division of a government agency
ⓘ
regulatory oversight body ⓘ |
| appliesTo |
broker-dealers
ⓘ
investment advisers ⓘ investment companies ⓘ registered entities under federal securities laws ⓘ securities firms ⓘ |
| collaboratesWith |
Division of Enforcement of the SEC
ⓘ
Division of Investment Management of the SEC ⓘ Division of Trading and Markets of the SEC ⓘ |
| country | United States of America ⓘ |
| employer | SEC examination staff ⓘ |
| field |
compliance oversight
ⓘ
financial regulation ⓘ securities regulation ⓘ |
| goal |
to detect violations of securities laws
ⓘ
to foster compliance with federal securities laws ⓘ to prevent harm to investors ⓘ |
| industry | securities industry ⓘ |
| jurisdiction | federal securities markets of the United States ⓘ |
| legalBasis |
Investment Advisers Act of 1940
ⓘ
Investment Company Act of 1940 ⓘ Securities Exchange Act of 1934 ⓘ
linked to:
U.S. Securities Exchange Act of 1934
federal securities laws of the United States ⓘ |
| locatedIn | Washington, D.C. ⓘ |
| oversightOf |
broker-dealers registered with the SEC
ⓘ
national securities exchanges to the extent of examination authority ⓘ registered investment advisers ⓘ registered investment companies ⓘ self-regulatory organizations to the extent of examination authority ⓘ |
| parentOrganization |
SEC
ⓘ
linked to:
Securities and Exchange Commission
U.S. Securities and Exchange Commission ⓘ
linked to:
Securities and Exchange Commission
|
| partOf | regulatory program of the U.S. Securities and Exchange Commission ⓘ |
| purpose |
to assess compliance with federal securities laws
ⓘ
to conduct examinations of regulated entities ⓘ to improve compliance in the securities industry ⓘ to promote investor protection ⓘ |
| regulates | entities registered with the SEC for compliance examinations ⓘ |
| regulatoryScope | federally registered securities market participants ⓘ |
| responsibility |
conducting cause examinations based on specific concerns
ⓘ
conducting risk-based examinations ⓘ conducting routine examinations of regulated entities ⓘ identifying weaknesses in compliance programs of registrants ⓘ making referrals to SEC enforcement staff when appropriate ⓘ |
| sector | public sector ⓘ |
| uses | risk-based methodologies to select examination targets ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Office of Compliance Inspections and Examinations Description of subject: The Office of Compliance Inspections and Examinations is a division of the U.S. Securities and Exchange Commission responsible for conducting examinations of securities firms and other regulated entities to assess compliance with federal securities laws.
Referenced by (7)
Full triples — surface form annotated when it differs from this entity's canonical label.
Division of Investment Management
→
collaboratesWith
→
Office of Compliance Inspections and Examinations
ⓘ
linked to: Office of Compliance Inspections and Examinations
subject linked to:
Division of Trading and Markets of the SEC
Chair of the U.S. Securities and Exchange Commission
→
oversees
→
Office of Compliance Inspections and Examinations (historically)
ⓘ
linked to: Office of Compliance Inspections and Examinations
Trading and Markets Division
→
collaboratesWith
→
Office of Compliance Inspections and Examinations
ⓘ
Division of Examinations of the SEC
→
formerName
→
Office of Compliance Inspections and Examinations
ⓘ