2018 Exam Priorities
SEC released their 2018 examination priorities which they have organized around five themes. Although they believe the below areas are critical, this list is not comprehensive. The Office of Compliance Inspections and Examinations (“OCIE”) remains flexible in order to cover emerging and exigent risks to investors and the marketplace as they arise. All examinations will remain firmly grounded around their four pillars: promoting compliance, preventing fraud, identifying and monitoring risk, and informing policy.
- Matters of importance to retail investors, including seniors and those saving for retirement
- Compliance and risks in critical market infrastructure
- Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB)
- Anti-Money Laundering programs
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