As it has for almost a decade, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced Tuesday its examination priorities for the new year. As in recent years, both Main Street investors and the Financial Industry Regulatory Authority (FINRA) are on the office’s radar for the upcoming year. Indeed, “many of the themes” on the OCIE’s priorities list “are perennial risk areas,” the office notes in its 2020 Examination Priorities document.
“We hope that this transparency helps firms evaluate and improve their compliance programs, which ultimately helps protect investors,” said OCIE Director Pete Driscoll in an accompanying press release.
