SEC 2018 Examination Priorities Match Chairman Clayton’s Priorities as Reflected in the Agency’s Budget Request

March 08, 2018

This year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) were announced on February 6, 2018, and cover five broad, albeit non-exhaustive, topics.

  • Protection of retail investors, including seniors and those saving for retirement;
  • Compliance and risks of entities (such as clearing agencies, securities exchanges and transfer agents) that provide critical market infrastructure functions;
  • The quality and effectiveness of the operations and regulatory programs, policies, procedures and controls of Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB);
  • Cybersecurity, including high level issues, such as governance and risk assessment, ongoing internal controls and procedures (including access rights, training and vendor management) and incident response; and
  • Anti-money laundering programs.

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