SEC Office of Compliance Inspections and Examinations Publishes 2018 Exam Priorities
Data Matters
FEBRUARY 13, 2018
For example, in reaffirming OCIE’s limited resources, the Exam Priorities make clear that decisions such as which firms to examine and the scope of the exams are guided by a risk-based analysis (rather than in routine cycles). This post outlines and elaborates on each of the Exam Priorities. The Exam Priorities continue this trend.
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