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.