Category: Office of Compliance Inspections and Examinations (OCIE)

Five Examination Priorities of The SEC Office of Compliance Inspections and Examinations
Five Examination Priorities of The SEC Office of Compliance Inspections and Examinations
  • Eric Mellmer
  • Mar 13, 2018
On February 7, 2018, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its annual examination priorities for 2018. The OCIE desires to ensur....

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