SEC Announces Examination Priorities for 2019
Data Matters
JANUARY 16, 2019
Securities and Exchange Commission (the SEC) released its report (the 2019 Report) setting forth its list of examination priorities for 2019 (the Exam Priorities). To this end, “OCIE is increasingly leveraging technology and data analytics as well as human capital to fulfill its mission.”. Continued Focus on Retail Investors.
Let's personalize your content