Following closely on the heels of FINRA’s publication of its examination priorities for 2014 (see our recent client alert), OCIE’s National Exam Program (NEP) released a summary of its 2014 priorities. OCIE’s priorities represent a cross-divisional effort at the SEC and reflect the staff’s assessment of information including:
• data from reports filed with the SEC;
• data gathered in the course of examinations;
• whistleblower tips;
• data retrieved from third-party databases;
• tips and communications from other regulators, including those outside the U.S.; and
• interactions with registrants, industry groups and service providers outside the examination process.
Please see full alert below for more information.
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Topics: Compliance, Databases, Dodd-Frank, Enforcement, FINRA, NEP, OCIE, Third-Party Risk, Whistleblowers
Published In: Finance & Banking Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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