The SEC’s Office of Compliance Inspections and Examinations (OCIE)—now renamed the Division of Examinations (the “Division” or “Examinations”) recently published its annual list of examination priorities for 2021. While the...more
In case you missed it during the holidays, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its annual list of examination priorities for 2019 in late December. The annual list provides an...more