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Alternative Market Briefing

Other Voices: OCIE publishes its 2020 examination priorities

Friday, January 31, 2020

By: Margaret (Peggy) Blake, Eric Love, Laura Pruitt, David Woodcock, Jones Day

The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2020 examination priorities. The Exam Priorities set forth a nonexhaustive list of key areas where OCIE intends to concentrate its resources in 2020.

In addition to diligently administering and improving their overall compliance programs, SEC registrants, including broker-dealers and registered investment advisers, should be particularly proactive in reviewing and enhancing, as necessary, their policies, procedures, and operations in the subject matter areas highlighted in the Exam Priorities.

On January 7, 2020, OCIE published the Exam Priorities, detailing the nonexclusive areas on which it intends to focus its resources for examinations in the coming year. As in previous years, the Exam Priorities contain the broad thematic categories of retail investors, market infrastructure, the activities of the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board, information security (i.e., cybersecurity), and anti-money laundering programs. This year, however, some areas of focus changed or were reorganized to highlight or expand upon particular areas OCIE intends to target, including: (i) fintech and innovation (e.g., digital assets and electronic investment advice); and (ii) certain additional subject matter areas (e.g., environmental, social, and g......................

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