SEC and FINRA 2019 Examination Priorities
The SEC and FINRA have recently released their examination priorities for 2019. 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
- Fees and expenses
- Conflicts of interest
- Protecting senior investors
- Trading and best execution
- Mutual fund selection
- Online distribution platforms
- Anti-money laundering
- Digital assets
- Technology and cybersecurity
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