United States:
OCIE Releases 2018 Examination Priorities
19 February 2018
Kramer Levin Naftalis & Frankel LLP
To print this article, all you need is to be registered or login on Mondaq.com.
The SEC's Office of Compliance Inspections and Examinations
released its 2018 examination priorities. Its priorities are
divided into five broad categories: Compliance and risks in
critical market infrastructure; Matters of importance to retail
investors, including seniors and those saving for retirement; FINRA
and MSRB; Cybersecurity; and AML programs.
SOURCE - SEC Office of Compliance Inspections and
Examinations Announces 2018 Examination Priorities
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
POPULAR ARTICLES ON: Corporate/Commercial Law from United States
Corporate Transparency Act Update
Shulman Rogers
With the arrival of spring and the first set of Corporate Transparency Act (CTA) filing deadlines behind us, it is a good time for an update on lessons learned from the initial filings.
Compliance Isn't The Only 'AI Washing' Risk
Bracewell
Companies are rapidly adopting artificial intelligence technologies, and both regulators and private plaintiffs have set their sights on "AI washing," where businesses tout AI capabilities that do not exist.