During January of 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued two reports that highlight the work and priorities of OCIE: on January 7, 2020, OCIE issued...more
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)