Last week, the staff of the SEC’s Office of Compliance Inspections and Examinations (OCIE) recently released its sixth annual examination priorities announcement. The alert lays out general issues industry can expect OCIE to focus on during the administration of the agency’s examination program in 2018. While reflecting a renewed emphasis of SEC Chair Jay Clayton on investment products and services offered to retail investors, the announcement contains information relevant to all entities subject to SEC oversight.
Corporate Defense and Disputes
Emerging developments in securities law, white-collar criminal defense, and regulatory compliance and enforcement in the asset management industry.