On January 7, 2020, the US Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") released its 2020 examination priorities. While a number of the 2020 priorities are continuations from the prior year, OCIE made certain enhancements and/or additions to these exam priorities that are similar to themes highlighted in its risk alerts and regulatory initiatives during 2019. A closer look at issues raised in the 2020 OCIE priorities, along with some key takeaways, can be found in the following Mayer Brown Legal Update, which focuses specifically on the examination priorities for investment advisers and registered investment companies.
If you have any questions about the issues raised in this Legal Update or would like assistance with SEC regulatory or other related matters, please contact any member of our Investment Management practice.
The post SEC's OCIE Releases its 2020 Examination Priorities appeared first on Funds & Investment Management Law Blog.
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This Mayer Brown article provides information and comments on legal issues and developments of interest. The foregoing is not a comprehensive treatment of the subject matter covered and is not intended to provide legal advice. Readers should seek specific legal advice before taking any action with respect to the matters discussed herein.