On December 20, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission announced its 2019 examination priorities. This year, OCIE’s examination priorities are divided into six categories:
- examining compliance and risk in registrants responsible for critical market infrastructure;
- protecting retail investors, including seniors and those saving for retirement;
- continuing oversight of the Financial Industry Regulatory Authority and Municipal Securities Rulemaking Board;
- monitoring digital assets, including cryptocurrencies, coins and tokens;
- prioritizing cybersecurity; and
- reviewing anti-money laundering programs.
OCIE’s release on its examination priorities is available here.