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OCIE announces 2018 examination priorities

Joe Mont | February 8, 2018

The Securities and Exchange Commission's Office of Compliance Inspections and Examination has announced its 2018 examination priorities. OCIE publishes its exam priorities annually to improve compliance, prevent fraud, monitor risk, and inform policy.

Of interest will be matters involving critical market infrastructure, duties to retail investors, and developments in cryptocurrency, initial coin offerings, and secondary market trading.

This year, OCIE's examination priorities are broken down into five categories: compliance and risks in critical market infrastructure; matters of importance to retail investors, including seniors and those saving for retirement; the Financial Industry Regulatory Authority and Municipal Securities Rulemaking Board; cyber-security; and anti-money laundering programs.

"As the markets continually evolve and the products and... To get the full story, subscribe now.