Industry Report: The SEC’s Office of Compliance Inspections and Examinations (OCIE) annouces its 2018 examination priorities.

Written By Brandon Klerk

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2018 examination priorities. OCIE publishes its exam priorities annually to improve compliance, prevent fraud, monitor risk, and inform policy. Of particular interest this year will be matters involving critical market infrastructure, duties to retail investors, and developments in cryptocurrency, initial coin offerings, and secondary market trading.

The report also highlights:

  • Compliance and Risks in Critical Market Infrastructure

  • Retail Investors, Including Seniors and Those Saving for Retirement

  • Cybersecurity

  • Anti-Money Laundering Programs

Read more here:

https://www.sec.gov/news/press-release/2018-12

https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2018.pdf

Brandon Klerk https://www.halyardcompliance.com
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