January 15, 2020 News

CLIENT ALERT: 2020 SEC Examination Priorities

January 15, 2020 -- “The SEC’s Office of Compliance Inspections and Examinations announced that key 2020 compliance objectives will focus on how investment managers and brokers make use of an expanding array of new technologies while preserving their relationship of trust with their clients. OCIE will be exploring how regulated businesses manage the growing availability of cryptocurrencies and other digital assets, use technology to provide customized investment advice, and protect their operations from increasingly sophisticated cyberintrusions and possible loss of customer data. The attached Client Alert summarizes some of the key issues that OCIE has flagged.”

PDF of Client Alert 2020 SEC Examination Priorities