In a press release issued by the Securities and Exchange Commission on December 20, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2019 Examination Priorities.
This year’s examination priorities, although not exhaustive, are divided into 6 categories:
- Compliance and risk at registrants responsible for critical market infrastructure;
- Matters of importance to retail investors, including seniors and those saving for retirement;
- FINRA and MSRB;
- Digital assets;
- Cybersecurity; and
- Anti-money laundering programs.
Read the OCIE 2019 Examination Priorities in full HERE.