What To Expect From SEC Exams In 2008

Law360, New York (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...
To view the full article, register now.

Law360 UK

UK Financial Services

Read Our Latest UK Legal News & Analysis

Financial Services Law360 UK and Insurance Law360 UK provide breaking news and in-depth analysis on U.K. and European Union regulation, enforcement, legislation, and litigation involving banks, investment firms, insurers, and more.