Lessons for Broker-Dealers and Investment Advisors from the SEC Office of Compliance Inspections and Examinations 2018 Priorities
February 23, 2018
The U.S. Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2018 National Exam Program Examination Priorities.
The 2018 priorities highlight areas of emphasis for OCIE, including cryptocurrencies, cybersecurity, anti-money laundering, and issues affecting retail investors (especially seniors and those saving for retirement). While the core areas of focus and many of the priorities for 2018 are similar to those from 2017, there is a clear shift in emphasis that we attribute to the change in leadership at the SEC. Some specific changes also likely stem from OCIE’s 2017 examination findings, recent market developments, and trends in enforcement.
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