SEC Issues 2019 Examination Priorities

The SEC had a holiday present for advisers this year. It released its 2019 examination priorities on December 20 rather than in January or February of the new year, as it has done in the past. The priorities listed are not that much different from the 2018 priorities, although digital assets is given more prominent play.
Full contents of this article are only available to paid subscribers.

Please note: we are on a new platform and you may need to reset your password to recover your account. Click here for more details.

New to ACA Insight?

Subscribe today and receive a time-limited $200 discount!

Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.