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News February 11, 2019 Issue

OCIE Exam Priorities List is a Tool, Not a Compliance Blueprint

New chief compliance officers at small firms, as well as compliance professionals of all sizes of firms, should avoid the trap of regarding the SEC’s annual examination priority list as a template for their own compliance programs. The priority list, published by the agency’s Office of Compliance Inspections and Examinations (OCIE), is a valuable tool for compliance efforts, but those efforts need to address topics in addition to those highlighted in the list.

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