2019 SEC Examination Priorities

posted in: Compliance, SEC Examinations | 0

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission has released its 2019 examination priorities. You will not be surprised to see that cybersecurity is still on the list. Anti-money laundering will also figure prominently in 2019 (so don’t do it).

Whether you are state or SEC registered, it is recommended that you take the time to see what is of concern to the SEC (as it all trickles down to the states at some point or another).

You can find the actual SEC release here.