SEC Examination Priorities 2018

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently announced its national exam priorities for 2018. This webinar will discuss OCIE’s new priorities for 2018, as well as continuing areas of focus from 2017.

The SEC’s areas of priority in 2018 include:

• Matters of importance to retail investors;
• Senior Investors and Retirement Accounts and Products;
• Wrap Fee Programs;
• Electronic investment advice;
• Never-Before Examined Investment Advisers;
• Mutual Funds and Exchange Traded Funds;
• Cryptocurrency, Initial Coin Offerings (ICOs), Secondary Market Trading, and Blockchain;
• Cybersecurity; and
• Anti-Money Laundering Programs.

During this webinar, our experts will provide practical guidance and tips to assist your firm in responding to the release of the examination priorities.