SEC and FINRA 2018 Examination Priorities

SEC and FINRA 2018 Examination Priorities

The SEC and FINRA have recently released their examination priorities for 2018. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program. We will discuss topics covered in these releases, including:

  • Protecting retail investors
  • Disclosure
  • Best execution
  • Mutual fund selection
  • Anti-money laundering
  • Cryptocurrencies
  • Technology and cybersecurity

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