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). On December 20, 2018, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. capital markets. Just five years ago, 9 percent of RIAs were examined.
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