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Compliance in 2018: Q&A with James Reese of the SEC

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The Securities and Exchange Commission (SEC) recently named James Reese as the Chief Risk and Strategy Officer for the Office of Compliance Inspections and Examinations (OCIE), which also leads the Office of Risk and Strategy (ORS). These offices assess companies’ and products’ risk to the financial markets and influence the SEC’s rule-making initiatives, among other actions. OCIE conducts the SEC’s National Exam Program (NEP), which was created to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that:

  • improve compliance
  • prevent fraud
  • monitor risk
  • inform policy

Risk Management Monitor reached out to Reese to find out what he has in store for his office and U.S. businesses.

Risk Management Monitor: Your office administers the NEP to businesses to ensure they are operating in compliance with the law and the SEC rules. Can you describe the information you gather and how it is used?

James Reese: During examinations, we may request and review policies and procedures, supervisory processes, trading activity or any other aspect of a registrant’s business. The results of the NEP’s examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct. The NEP maintains a critical presence among market participants by conducting thousands of exams annually. This provides us with timely, accurate, and reliable information to assist the program and SEC in fulfilling its mission.

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RMM: You had been OCIE’s acting chief since shortly after its inception. How has the office grown and what is your vision for the next five to 10 years?

JR: Now that we have built synergies across groups, the focus is turning more toward enhancing our risk assessments, providing better support to exam teams, improving our technology and using big data.

Centralizing the staff has led to a more cohesive approach to risk assessment and more opportunities to collaborate and take advantage of cross-discipline problem-solving.

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It has also helped us prioritize those areas where we can make the greatest impact on the NEP, allowing not only our office to maximize its limited resources but in turn also allowing us to focus on how we can provide exam teams tools and data to maximize their resources.

Ultimately, our office’s goals are wide-ranging and include:

  • identifying risks to investors, particularly retail investors, and the markets
  • assisting the home and regional offices in identifying exam candidates
  • developing technology tools and quantitative approaches that exams teams can use to, for example, identify potentially problematic practices at firms and more quickly analyze trading activity
  • monitoring and examining some of the largest financial firms to understand the various market and their operational risks

RMM: What risks are you closely monitoring (or are most influential)?

JR: Since 2013, OCIE has annually published its examination priorities, which generally reflect certain practices, products and services that OCIE believes may present a heightened risk to investors and/or the integrity of the financial markets. In 2018, as in prior years, we have prioritized matters of importance to retail investors, including seniors and those saving for retirement. This translates to pursuing examinations of firms that provide products and services directly to retail investors and focusing on the disclosure and sales practices associated with higher risk products.

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We are also focusing on risks to market infrastructure, cybersecurity as well as firms’ anti-money laundering requirements.

RMM: How has a risk manager’s role (and/or its importance) changed since you began at the SEC in 1999?

JR: I have seen more firms identify individuals to either serve as a chief risk officer or build out their risk management function. As SEC Chairman Jay Clayton noted in his recent remarks at the Equity Market Structure Symposium: “One of the few certainties of trading markets is that they continually evolve. New technologies spur new market mechanisms, which, in turn, lead to new trading practices.”

Risk managers face an increasingly difficult task of identifying and triaging these changes, and also having to be proactive. Trying to look around corners, identify emerging issues and spot trends before they metastasize within an organization is the cornerstone of any good risk organization and ORS spends a great deal of time on those activities, as well.

Business and Employee Safety During Crisis Explored at RIMS 2018

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SAN ANTONIO – Emergency preparedness and action plans amid violent crises were explored during educational sessions at RIMS 2018 here. On Monday and Tuesday, experts discussed ways businesses can prepare for active shooter events and kidnapping crises. Experts agreed that in such events, lives, operations, reputation and finances are all at stake.

Some highlights from the sessions:

Kidnapped! A Crisis Simulation Exercise
Bill Laurence, head of crisis management at S-RM offered a kidnap simulation for a well-attended session on Monday. Laurence provided a scenario, asking the audience to assume a collective role as decision-makers of a fictitious, billion-dollar coffee company that has an executive abducted in Mexico. The group’s assignment was to create a crisis management team and decide who the communicator would be, how they would respond to threats and what information to relay to their insurance provider, among other critical actions.

“The first 24 hours are always the most critical during a kidnapping or ransom scenario,” Laurence said.

The simulation included real-life audio and video examples of terrifying ransom-demanding calls. The team learned that the kidnapper has typically planned the abduction in advance and always has control of the situation – beginning with communication. “For that reason alone, you cannot speed up the process,” Laurence said.

And although things may seem dire, he explained ways to glean information – and feel somewhat positive – even after a brief phone call. “We all react differently to pressure,” he said. “But avoid speculation and always prepare for the next call.”

Read more about kidnapping in a Q&A with the session’s co-host, Denise Balan, senior vice president and head of U.S. kidnap & ransom at XL Catlin, on page 9 in Tuesday’s Show Daily.

Active Threat and Workplace Violence on Campus: Preparedness, Response and Recovery
Craig McAllister, Cornell University’s director of risk management and insurance, opened a session on Tuesday with a discussion of duty of care and the obligation to the campus or work environment.

He pointed out that, in early January, the National Fire Protection Association (NFPA) processed its NFPA 3000 Standard as a provisional one to streamline the program elements necessary for organizing, managing, and sustaining an active shooter and/or hostile event response program. The standard gained even more input following the Marjory Stoneman Douglas High School in Parkland, Florida, on Feb. 14 in an effort to reduce or eliminate the risks, effect, and impact on an organization or community affected by these events

Paul Mills, global kidnap prevention manager at AIG, followed with a segment addressing best practices for violent incident preparation and response. He discussed response and resilience training for employees who need enhanced preparedness with the rise of violence against soft targets.

He noted that advances in technology often are putting people in harm’s way by default. “People are distracted to the point where they are unaware of the threats they face. It’s also delaying and inhibiting their response times,” he said. “Without even realizing it, they often portray victim-like behavior.”

Kendell Moore, senior vice president at the Abernathy MacGregor Group, delved into the key crisis management sources of an organization’s response support, both internally and externally. She used a mass shooting that occurred inside a local business in the western United States (that is also part of a major American chain) as an example of an entity that needed to enact its crisis communication plan immediately after the attack.

Moore offered some crisis communication principles:

  • Media is a conduit, not an audience. “The media needs to catch up to the actions of the business.”
  • Speak directly to the impacted. “It is most important to communicate with victims, loved ones, the community and those who are directly affected.”
  • Take action, not credit. “No statement, no matter how eloquent, can substitute for doing the right thing.”
  • Communicate what matters when it matters. ““What is said first must stand the test of time. So announce nothing and predict nothing that isn’t solid and certain.”
  • Build relationships in the community. ““Work alongside local law enforcement, government officials and those who know the community best.”
  • Listen to people’s needs and requests. “Ask what people need, rather than telling them what you think they need.”

Copycat Threats Escalate After Fla. School Shooting

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Numbers of bomb threats and false alarms following the deadly Feb.

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14 shooting at the Marjory Stoneman Douglas High School in Parkland, Florida have jumped, causing fear and panic across the U.S. and creating havoc for school personnel and law enforcement.

The threats are mostly carried out by students too young to realize the repercussion of their comments—which most often are posted on social media sites.

The sharp rise in false alarms, from 10 to about 70 a day, has left school administrators and authorities with the precarious job of determining the threat’s credibility. Worried parents often fear sending their children to school.

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The New York Times reported:

Every school day in the week after Feb. 14, the day of the attack at the Florida high school, at least 50 threats or violent incidents at schools were reported across the country, according to the Educator’s School Safety Network, an advocacy organization that has tracked news reports of threats and violence since 2016. Normally, the group records an average of 10 to 12 incidents a day.

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The group’s count includes many incidents that turn out to be false alarms or hoaxes.

Since the shooting, Texas has had the most threats, with 55 reports, followed by Ohio, California, Florida and Pennsylvania, according to data from the Educator’s School Safety Network, which tracks such incidents and also trains schools on how to handle them. Because of the threats, at least 33 schools closed and more than 15 others were locked down, according to the USA Today Network.

The threats have sparked a legal debate over what penalties kids should face. Authorities have yet to determine, however, how to deal with such threats, as an arrest could jeopardize a student’s future.

These types of threats are not new. Following the massacre at Columbine High School in 1999, hundreds of threats were sent to schools across the country, leading to more than 350 arrests. USA Today notes that even with jail as a penalty, threats have been widespread for decades and are not letting up.

TSA’s Anti-Terror Trackers Tested at Penn Station

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The Transportation Security Administration (TSA) had a presence in New York’s Penn Station this week, as it partnered with Amtrak to test new security technology that can help prevent and detect risks of terrorism and violence.

The TSA set up a passive system known as a stand-off explosive detection unit at the Amtrak concourse to identify individuals carrying/wearing a person-borne improvised explosive device (PBIED), such as a suicide bomb or vest. Such a vest was worn by terror suspect Akayed Ullah, when he attempted to blow himself up in a tunnel connected to the Port Authority in Midtown Manhattan last December.

The system will be tested at Penn Station through the end of this week and operated by Amtrak police officers. TSA spokesperson Lisa Farbstein said that local enforcement agents can be trained on the technology and laptop in one day and that local police would establish protocol if a weapon were to be detected.

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According to TSA information, the unit’s main feature is a screening technology that can be used by Amtrak and mass transit agencies to detect potential threats—metallic or non-metallic—by identifying objects that block the naturally-occurring emissions emitted by a person’s body.

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The unit does not emit any radiation and no anatomical details of a person are displayed.

The use of the detection technology enables a rail or transit agency to help safeguard against terrorist threats in a mass transit environment.

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The TSA is supplying two models of the equipment for the purposes of the demonstration. One model is mounted on a tripod, the other is contained in a trunk.

The equipment is mobile, which allows agencies to easily relocate it to different stations. Users operate it via a laptop computer in the station. The image that appears on the laptop reveals concealed objects that block the body emissions and indicate the location and size of those objects on a green image of an individual.

Penn Station was the most recent stop in the new technology’s national testing tour. In December 2017, the scanners were used in the Los Angeles 7th Street metro station where more than 86,000 people pass through each weekday; one month earlier they were used by Amtrak in Washington, D.C. They were also used in Secaucus, New Jersey in 2014 as riders made their way to MetLife Stadium for Super Bowl XLVIII.