Yesterday, January 7th, the SEC announced its 2020 list of examination priorities, which can serve as a road map for regulated entities and individuals.
SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. “OCIE’s 2020 examination priorities identify key areas of risk, both existing and emerging, that we expect self-regulatory organizations (SROs), clearing firms, investment advisers and other market participants to identify and mitigate,” said SEC Chairman Jay Clayton. OCIE’s 2020 examination priorities are: - Retail Investors, Including Seniors and Those Saving for Retirement, - Market Infrastructure, - Information Security, - Focus Areas Relating to Investment Advisers, Investment Companies, Broker-Dealers, and Municipal Advisors, - Anti-Money Laundering Programs, - Financial Technology and Innovation, Including Digital Assets and Electronic Investment Advice, and - FINRA and MSRB examinations.
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