Recently, the Office of Compliance Inspections and Examinations (“OCIE” or “Examiners”) announced its annual examination priorities, highlighting areas of focus for its investigative and regulatory efforts this year. The...more
2/23/2018
/ Anti-Money Laundering ,
Broker-Dealer ,
Cryptocurrency ,
Cybersecurity ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
OCIE ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)