OCIE 2019 Examination Priorities

Guest post by Pillsbury’s Investment Fund Law Team

In a press release issued by the Securities and Exchange Commission on December 20, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2019 Examination Priorities.

This year’s examination priorities, although not exhaustive, are divided into 6 categories:

  1. Compliance and risk at registrants responsible for critical market infrastructure;
  2. Matters of importance to retail investors, including seniors and those saving for retirement;
  3. FINRA and MSRB;
  4. Digital assets;
  5. Cybersecurity; and
  6. Anti-money laundering programs.

Read the OCIE 2019 Examination Priorities in full HERE.


Pillsbury Winthrop Shaw Pittman LLP

Pillsbury is an international law firm with a particular focus on the technology & media, energy, financial services, real estate & construction, and travel & hospitality sectors. Recognized by legal research firm BTI Consulting as one of the top 20 firms for client service, Pillsbury and its lawyers are highly regarded for their forward-thinking approach, their enthusiasm for collaborating across disciplines and their unsurpassed commercial awareness. That’s how we have achieved the 12th-highest percentage of Chambers-ranked lawyers among all AmLaw 100 firms.

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