The Division of Examinations of the Securities and Exchange Commission (SEC) recently announced its areas of focus for 2022. The Division takes a risk-based approach to its examinations, typically focusing on areas that are of major potential risk to investors. In an effort to maintain the integrity of US capital markets, severa
Category: SEC Examinations 449
The Office of Compliance Inspections and Examinations (OCIE) of Securities and Exchange Commission (SEC) has revealed its examination priorities for the year 2019, on December 20, 2018.
Every year OCIE publishes its examination priorities to emphasize its commitment to transparency, and promote it in the examination programs.