SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
FOR IMMEDIATE RELEASE 2018-299 Washington D.C., Dec. 20, 2018 — The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2019 examination priorities. OCIE publishes its exam priorities annually to promote transparency of its examination program and provide insights into the areas it believes present potentially heightened risk to investors or…