The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published its
examination priorities for 2020.
The priorities include (1) protection of retail investors, including seniors and
those saving for retirement; (2) market infrastructure; (3) information security;
(4) the focuses of the OCIE in its risk-based examinations of registered investment
advisers, investment companies, broker-dealers, and municipal advisers; (5)
anti–money laundering programs; (6) financial technology and innovation, including
digital assets and electronic investment advice; and (7) oversight of the Financial
Industry Regulatory Authority and Municipal Securities Rulemaking Board.
The SEC notes that the “published priorities . . . are not exhaustive and will not be
the only issues OCIE addresses in its examinations, published risk alerts, and
investor and industry outreach.”
For more information, see the press
release on the SEC’s Web site.