2019 examination priorities announced by SEC Office of Compliance Inspections and Examinations

By R. Jason Howard, J.D. In order to promote transparency of its examination program and provide insights into the areas it believes present potentially heightened risk to investors or the integrity of the U.S. capital markets, the SEC’s Office of Compliance Inspections and Examinations (OCIE) has announced its 2019 examination priorities. The examination priorities are broken down into six categories: (1) compliance and risk at registrants responsible for critical market infrastructure; (2) matters of importance to retail investors, including seniors and those saving for retirement; (3) FINRA and MSRB; (4) digital assets; (5) cybersecurity; and (6) anti-money laundering programs. SEC Chairman Jay Clayton said, “OCIE continues to thoughtfully approach its examination program, leveraging technology and the SEC staff's industry expertise. As these examination priorities show, OCIE will maintain its focus on critical market infrastructure and Main Street investors…

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