SEC Releases 2020 Examination Priorities

January 8, 2020July 14, 2022

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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