Piper Waldron

Piper Waldron

McGuireWoods LLP

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SEC 2020 National Exam Program Examination Priorities

On January 7, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination priorities. OCIE is prioritizing practices, products, and services that it...more

1/9/2020  /  Anti-Money Laundering , Financial Industry Regulatory Authority (FINRA) , OCIE , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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