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What To Expect From SEC Exams In 2008

Law360 (January 31, 2008, 12:00 AM EST) -- On Jan. 17, 2008, Lori Richards, Director of the SEC’s Office of Compliance and Examinations (“OCIE”), spoke at the SIFMA Compliance and Legal Division’s January General Luncheon Meeting in New York City. Ms. Richards’ speech highlighted OCIE’s 2008 exam priorities, and she identified the following as the three most important areas of concern for the OCIE Staff in 2008.

She noted that she has previously identified a greater number of compliance concerns (e.g., a “Top 10” list), but that this year she would only identify three...
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