Regulatory ALERT: The SEC’s Compliance Inspection Priorities for 2019

Written By Brandon Klerk

The Securities and Exchange Commission (“SEC”) announced the 2019 examination priorities for compliance examinations and inspections late Thursday, December 20th, 2018.  Examination priorities include: Market Infrastructure, Retail & Senior Investors, Digital Assets, Cyber-security, and Anti-Money Laundering Programs.  

You may read the announcement here: https://www.sec.gov/news/press-release/2018-299

Brandon Klerk https://www.halyardcompliance.com
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