OCIE Announces Its 2019 Exam Priorities

Chelsea EllisOperations

ocie-2019-exam-priorities

On December 20, 2018, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) published its annual examination priorities for 2019 (“2019 Priorities”). OCIE annually publishes its examination priorities to highlight the key areas it intends to focus on in the upcoming year. OCIE examines investment advisers, mutual funds and exchange traded funds, broker-dealers, transfer agents, clearing … Read More