On February 7, 2018, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018 examination priorities.1 This year's priorities comprise five principal areas: (1) retail investors, (2) infrastructure risks, (3) FINRA and Municipal Securities Rulemaking Board (MSRB), (4) cybersecurity, and (5) antimoney laundering (AML) programs.
In connection with the release, OCIE announced that its work stands on four "pillars": (i) promoting compliance; (ii) preventing fraud; (iii) identifying and monitoring risk; and (iv) informing policy.
Relatedly, OCIE announced the five principles by which it will abide in the execution of its examination priorities:
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Originally published by The Investment Lawyer, Vol. 25, No. 5 " May 2018
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