Tag Archives: priorities

OCIE Publishes its 2018 Examination Priorities

On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its Examination Priorities for 2018.  The Examination Priorities cover “certain practices, products, and services that OCIE believes may present potentially heightened risk to investors and/or the … Continue reading

Posted in Banking and Finance law | Tagged , , , , | Leave a comment

Investor concerns, compliance risks top OCIE 2018 exam priorities

By Amy Leisinger, J.D. The SEC’s Office of Compliance Inspections and Examinations has announced its 2018 examination priorities in its continuing effort to encourage compliance, prevent fraud, and identify and monitor potential risks. This year’s priorities focus on five main … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , , | Leave a comment

Knowledge Management Priorities in Large Law Firms – 2018 Survey

This posting [snipped] is authored by Ron Friedmann, Prism Legal: “I report here on the 2018 Knowledge Management (KM) Summit survey results. The Summit is a meeting of senior knowledge management professionals from large US, UK, Canadian, and Australian law … Continue reading

Posted in Law Librarians | Tagged , , , , , , | Leave a comment

Compounding Remains an FDA Priority: Agency Announces 2018 “Compounding Priorities Plan” and Several Compounding Guidances, Including Guidance on “Essentially Copies” and Repackaging

By Karla L. Palmer — Last week FDA announced the release of its 2018 “Compounding Priorities Plan.” FDA also released several guidance documents in the wake of its announcement, such as its final guidance on essentially copies of commercially available … Continue reading

Posted in Products Liability | Tagged , , , , , , , , , , , , , , | Leave a comment

FINRA Publishes 2018 Annual Regulatory and Examination Priorities Letter

On January 8, 2018, FINRA published its 2018 Annual Regulatory and Examination Priorities Letter.  As we noted in our last blog post, FINRA announced in December 2017 that it would continue to make enforcement a priority in the coming year.  … Continue reading

Posted in Banking and Finance law | Tagged , , , , , , , | Leave a comment