SEC Office of Compliance Inspections and Examinations Publishes 2018 Exam Priorities
Data Matters
FEBRUARY 13, 2018
1 As has been widely reported, the Exam Priorities’ general focus areas include: retail investors. 1 As has been widely reported, the Exam Priorities’ general focus areas include: retail investors. A Continued Focus on Retail Investors – what does this mean? compliance and risks in critical market infrastructure. cybersecurity.
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