On February 7, 2018, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018 examination priorities. This year’s priorities comprise five principal areas: (1) retail investors, (2) infrastructure risks, (3) FINRA and Municipal Securities Rulemaking Board (MSRB), (4) cybersecurity, and (5) antimoney laundering (AML) programs.
Originally published in The Investment Lawyer - May, 2018.
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