Published on Jan 8th, 2020 |

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. OCIE publishes its examination priorities annually to enhance the transparency of its examination program and to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.

The prioritized areas include:

  • Retail Investors, Including Senior 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 (Fintech) and Innovation, Including Digital Assets and Electronic Investment Advice
  • FINRA and MSRB

The published priorities for FY 2020 are not exhaustive and will not be the only areas OCIE focuses on in its examinations, risk alerts, and investor and industry outreach.

Read the full release here…