2020 OCIE Exam Priorities include Standards of Conduct, Cybersecurity, Digital Assets

The SEC’s Office of Compliance Inspections and Examinations released its 2020 Examinations Priorities, and while many of the topics were the same as in past years, the new list includes checking into firms’ compliance with its recently adopted Standards of Conduct, including Regulation Best Interest, Form CRS, and interpretation of an adviser’s fiduciary duty. Cybersecurity, digital assets, conflicts of interest and compliance programs also made the list.
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