Crypto And Data Use Remain SEC Examination Targets In 2020
Law360 (January 7, 2020, 9:03 PM EST) -- The U.S. Securities and Exchange Commission said Tuesday that in 2020 it will continue to focus on developments in the fintech space, including the use of alternative data, digital currencies and robo-advisers, as it outlined its examination priorities for the upcoming year.
The SEC's Office of Compliance Inspections and Examinations noted in its eighth annual examination report that it completed upwards of 3,000 examinations in 2019 aimed at promoting compliance. Its work prompted many regulated firms to take direct action, including changes to compliance procedures, policies and regulatory filings, as well as returning funds to investors.
In 2020, OCIE said it...
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