Article

SEC Office Unveils Examination Priorities for 2018

February 19, 2018

On February 7, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) revealed its annual list of exam priorities. This year’s examination priorities are divided into five categories:

  • Compliance and risks in critical market infrastructure
  • Matters of importance to retail investors, including seniors and those saving for retirement
  • FINRA and MSRB
  • Cybersecurity
  • Anti-money laundering programs

More on the OCIE’s 2018 examination priorities is available in the news release.