SEC Examination Priorities and Focus Areas for 2019
The U.S. Securities Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities on December 20, 2018.
Watch the recorded webinar to gain insight into these changes as they pertain to: 1) services and products offered to those saving for retirement, 2) fees and expenses, conflicts of interest, portfolio management and trading - with emphasis on retail investors, 3) advisers to mutual funds and exchange traded funds, 4) digital assets, which include cryptocurrencies, coins, and tokens, and 5) cybersecurity.
SEC examination priorities and focus areas for 2019
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