SEC 2018 examination priorities
Journal of Investment Compliance
ISSN: 1528-5812
Article publication date: 19 July 2018
Issue publication date: 14 August 2018
Abstract
Purpose
To analyze SEC Staff’s announced 2018 OCIE Examination priorities to provide insight to investment advisers and other regulated entities regarding areas of focus during SEC examinations.
Design/methodology/approach
This article discusses the US Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published its examination priorities for 2018 (the “2018 Priorities Report”).
Findings
Given that OCIE’s examination priorities for 2017 were published before the beginning of the Trump administration, differences between the 2017 and the 2018 priorities provide important insights into the focus of examinations under SEC Chair Clayton. Investment advisers and other regulated entities should allocate resources towards their preparedness for the areas of focus identified in the 2018 Priorities Report.
Originality/value
This article contains valuable insight regarding the SEC’s 2018 OCIE examination priorities and practical guidance from industry experts.
Keywords
Acknowledgements
Editor’s note: The authors recognize and thank the following colleagues for their help in writing this article: Wendy E. Cohen, Allison C. Yacker and Lance A. Zinman, partners, and Michael T. Foley, special counsel, at Katten Muchin Rosenman LLP.
Citation
Angstadt, J.M., Dickstein, D., Goldstein, M. and Marshall, R. (2018), "SEC 2018 examination priorities", Journal of Investment Compliance, Vol. 19 No. 2, pp. 1-4. https://doi.org/10.1108/JOIC-04-2018-0028
Publisher
:Emerald Publishing Limited
Copyright © 2018, Janet M. Angstadt, David Y. Dickstein, Mark D. Goldstein and Richard D. Marshall/Katten Muchin Rosenman LLP.