SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers
Data Matters
FEBRUARY 20, 2020
This will include reviewing firms’ conduct in light of the SEC’s 2019 Interpretation Regarding Standards of Conduct for Investment Advisers, as well as the content and delivery of Form CRS. OCIE completed 3,089 examinations in FY 2019. FY 2019 continued the trend of devoting resources to examine RIAs. Information Security .
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