SEC Examination Priorities and Focus Areas for 2019

The U.S. Securities Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities on December 20, 2018.

Please join as we discuss the 2019 examination priorities and what they may mean for you. 

Discussion Topics

Our speakers will discuss 2019 exam priorities affecting registered investment advisers, including:

• Services and products offered to seniors and those saving for retirement;
• Fees and expenses, conflicts of interest, portfolio management and trading - with emphasis on retail investors;   
• Never-before or not recently-examined investment advisers - with emphasis on retail investors;
• Advisers to mutual funds and exchange traded funds – including firms that advise both mutual funds and private funds with similar investment strategies;
• Digital assets, which include cryptocurrencies, coins, and tokens; and
• Cybersecurity.