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SEC Releases 2020 Examination Priorities

Updated: Aug 24


The SEC’s Office of Compliance Inspections and Examinations (OCIE) just released their 2020 examination priorities. Of the seven stated focus areas, three are key to FinTechs – cyber security, anti-money laundering and financial innovation. OCIE also indicated that they’ll target newly registered advisors, and RIAs who haven’t previously been examined.

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