SEC Exam Priorities Highlight Flexible, Holistic Compliance

Law360 (February 12, 2020, 5:08 PM EST) -- On Jan. 7, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations released its examination priorities for 2020.[1] This annual publication provides visibility into OCIE’s priorities for the coming year, and an overview of the existing and emerging risks and trends that financial firms[2] should proactively consider and address in their compliance programs.

The exam priorities echo many of the concerns expressed in last year's priorities.[3] Both releases focus on the protection of retail clients, the need for robust information security and cybersecurity policies, the regulation of digital assets, review and implementation of anti-money laundering, or AML, programs,...

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