FacultyFaculty/Author Profile
Scott W. Bauguess

Scott W. Bauguess

U.S. Securities and Exchange Commission
Deputy Director and Deputy Chief Economist, Division of Economic and Risk Analysis
Washington, DC, USA


Scott Bauguess is the SEC’s Deputy Chief Economist and Deputy Director of the Division of Economic and Risk Analysis (DERA). He oversees the Division’s risk assessment and data-driven, predictive analytics development, designed to detect fraud and misconduct in the Commission’s investigation and examination programs, specifically in the areas of corporate issuers, broker- dealers, and asset managers. As part of this, he directs economic analyses in recommendations to the Commission on issues related to the form and manner of registrant disclosures and governance. Scott received his Ph.D. in Finance from Arizona State University in 2004. He also holds a B.S. and M.S. in Electrical Engineering and prior to his doctoral studies spent six years working as an engineer in the high tech industry.
Scott W. Bauguess is associated with the following items:
Web Segment  Web Segment The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - Financial Services Industry Regulatory Compliance Forum 2017, Monday, November 13, 2017
Economic and Risk Analysis - The SEC Speaks in 2018, Tuesday, February 27, 2018
MP3 Audio  MP3 Audio The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective, Monday, November 13, 2017
Economic and Risk Analysis - Economic and Risk Analysis, Tuesday, February 27, 2018
Transcripts  Transcripts The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective, Monday, November 13, 2017
Economic and Risk Analysis - Economic and Risk Analysis, Tuesday, February 27, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective - The Role of Data and Other Elements in Assessing Risk: A Regulatory Perspective, Monday, November 13, 2017
Economic and Risk Analysis - Economic and Risk Analysis, Tuesday, February 27, 2018
On-Demand Web Programs  On-Demand Web Programs Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 15, 2017, New York, NY
The SEC Speaks in 2018, Saturday, March 03, 2018, Washington, DC
CHB Chapters  CHB Chapters Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, “The Role of Big Data, Machine Learning and AI in Assessing Risks: A Regulatory Perspective,” Remarks before the 19th Annual Operational Risk North America Conference New York, NY (June 21, 2017) - Financial Services RegTech and Regulatory Compliance Forum 2018, Monday, November 12, 2018
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