The Situation: The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam Priorities").
The Result: The 2021 Exam Priorities set...more
3/19/2021
/ Anti-Money Laundering ,
Broker-Dealer ,
Compliance ,
Investment Adviser ,
Municipal Advisers ,
OCIE ,
Regulation Best Interest ,
Regulation SCI ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The Situation: Throughout the COVID-19 pandemic, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") has continued to operate via off-site examinations and remote working...more
The Situation: The SEC's Office of Compliance Inspections and Examinations ("OCIE") intends to examine registrants to assess preparation for the expected discontinuation of LIBOR and the transition to alternative reference...more
The Situation: The Office of Compliance Inspections and Examinations ("OCIE") of the U.S. Securities and Exchange Commission has released its 2019 Examination Priorities ("Report").
The Result: The Report details key areas...more