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. 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 should proactively consider and address in their compliance programs.
The exam priorities echo many of the concerns expressed in last year's priorities. 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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