Skip to main content
Skip to navigation

SEC to Focus More on Data in Examinations, Inspections

By Joe Mont2014-03-04T00:00:00

white-maryjo-updated_547501_9

THIS IS MEMBERS-ONLY CONTENT

You are not logged in and do not have access to members-only content.

If you are already a registered user or a member, SIGN IN now.

Related articles

Article
SEC oversight in the Digital Age

2017-01-18T09:30:00Z By Jaclyn Jaeger

Big Data is the compliance buzzword of the day, but at the SEC, high technology is both a challenge and an opportunity. Jaclyn Jaeger has more.
Article
SEC, FINRA Dropping Hints on Risk

2015-02-03T15:45:00Z By Joe Mont

Compliance officers looking to read some tea leaves about what worries the Securities and Exchange Commission these days might want to skim the 2015 exam priorities that the SEC and FINRA have posted. That guidance applies foremost to financial firms, but “it’s only a matter of time before they require ...
News Brief
DOJ targets $14.6B in health care fraud with focus on transnational crime

2025-07-02T18:31:00Z By Aaron Nicodemus

Emerging enforcement priorities of the U.S. Department of Justice’s health care fraud division align with the Trump administration’s emphasis on prosecuting transnational criminal organizations and ending opioid trafficking.