Tue, Feb 25, 2020
A A A
Welcome Guest
Free Trial RSS
Get FREE trial access to our award winning publications
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......................

To view our full article Click here

Today's Exclusives Today's Other Voices More Exclusives
Previous Opalesque Exclusives                                  
More Other Voices
Previous Other Voices                                               
Access Alternative Market Briefing

 



  • Top Forwarded
  • Top Tracked
  • Top Searched
  1. PE/VC: Venture debt: Is it a loan? Is it equity? Is it an pportunity?, PE, VC investments in India hit all-time high in 2019[more]

    Venture debt: Is it a loan? Is it equity? Is it an pportunity? From Forbes: Venture Capital is usually the default option for fast-growth startups looking for a cash injection, thanks to our willingness to take risks in return for equity, and with no need to pay anything back - at least

  2. Bruce Berkowitz is back!, Coatue's new quant fund lost money in the fourth quarter[more]

    Bruce Berkowitz is back! From Institutional Investor: Famed value investor Bruce Berkowitz has hit hard times over the past decade, with big bets on losers like Eddie Lampert's Sears Holdings. In fact, over the past 10 years, his Fairholme Fund's annualized return is only 4.89 percent -

  3. Other Voices: Are all ESG Indexes as green as you want them to be?[more]

    From Beyond Investing: When Laurence Fink, chief executive of BlackRock, with nearly US$7 trillion under management, vows to put sustainability at the core of the firm's new investment approach, markets and investors sit up and liste

  4. Legal: Philip Falcone sued over alleged $65.8m default, Warhol painting[more]

    From Bloomberg: Former Harbinger Capital hedge fund manager Philip Falcone was accused in a New York lawsuit of defaulting on $65.8 million in loans and violating the terms of lending agreements by selling two paintings used as collateral, including one by Andy Warhol. Melody Business Finance LL

  5. U.S.: Second round of layoffs to hit TIAA's shuttered OCIO business this week, Capital buffers edged lower at systemic US banks in 2019[more]

    Second round of layoffs to hit TIAA's shuttered OCIO business this week From Institutional Investor: A second round of layoffs in TIAA's outsourced chief investment officer business is slated to take place this week, according to one former staffer. TIAA announced in November that it wa