The SEC’s Division of Examinations (EXAMS) published its report on 2024 Examination Priorities on October 16, 2023.
The 2024 Examination Priorities continue to reflect an examination program that is vigorous and broad...more
12/18/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Compensation ,
Compliance ,
Conflicts of Interest ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Due Diligence ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
REIT ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2021 Examination Priorities on March 3, 2021. The 2021 Examination Priorities cover eight broad topics:
- The protection...more
3/30/2021
/ Anti-Money Laundering ,
Cybersecurity ,
Digital Assets ,
ETFs ,
FinTech ,
Form CRS ,
Investment ,
Investment Adviser ,
Investors ,
Regulation Best Interest ,
Retail Investors ,
Securities and Exchange Commission (SEC)
The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics:
- Protection...more
2/1/2020
/ Anti-Money Laundering ,
Broker-Dealer ,
Critical Infrastructure Sectors ,
Cybersecurity ,
Digital Assets ,
ETFs ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Innovation ,
Investor Protection ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Retail Investors ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Stock Exchange
The Financial Industry Regulatory Authority published its 2019 Report on Examination Findings and Observations (2019 Report) on October 16, 2019. This marks the third annual report of FINRA findings, but in a departure from...more
11/18/2019
/ Annual Reports ,
Anti-Money Laundering ,
Bank Secrecy Act ,
Best Execution ,
Broker-Dealer ,
Business Continuity Plans ,
Compliance ,
Cybersecurity ,
Digital Communications ,
Financial Industry Regulatory Authority (FINRA) ,
Fixed Income Investments ,
Integrity Policies ,
Investment Adviser ,
Know Your Customers ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Short Sales ,
Supervision ,
Suspicious Activity Reports (SARs) ,
UGMA ,
UTMA
Next year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on December 20, 2018, and cover six broad, albeit...more
12/22/2018
/ Anti-Money Laundering ,
Compliance ,
Critical Infrastructure Sectors ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Elder Issues ,
Financial Industry Regulatory Authority (FINRA) ,
Initial Coin Offering (ICOs) ,
Market Infrastructure ,
MSRB ,
OCIE ,
Publicly-Traded Companies ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The U.S. Treasury’s Financial Crimes Enforcement Network (FinCEN) on April 3, 2018 issued Frequently Asked Questions Regarding Customer Due Diligence Requirements for Financial Institutions (FAQs). The FAQs address various...more
4/13/2018
/ Anti-Money Laundering ,
Beneficial Owner ,
Broker-Dealer ,
Compliance ,
Customer Due Diligence (CDD) ,
Financial Institutions ,
FinCEN ,
Investment Adviser ,
Joint Ownership ,
Legal Entity Identifiers ,
Mutual Funds ,
Retroactive Application ,
Verification Requirements
This year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) were announced on February 6, 2018, and cover five broad, albeit...more
3/9/2018
/ Anti-Money Laundering ,
Budgets ,
Compliance ,
Cryptocurrency ,
Cybersecurity ,
Elder Issues ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Incident Response Plans ,
Investor Protection ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Popular ,
Publicly-Traded Companies ,
Retail Investors ,
Risk Assessment ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)