The SEC Office of Compliance Inspections and Examinations
recently released its 2017 Exam Priorities. This Client Alert
summarizes the 2017 Exam Priorities and provides instructions on
how to obtain Reed Smith's new 2017 "CCO Key Items"
tool for a more in-depth discussion of key compliance topics for
exam preparedness in 2017.
The SEC Office of Compliance Inspections and Examinations
("OCIE" or the "Staff") recently released its
2017 Exam Priorities. The release of the 2017 Exam Priorities
provides a useful guide and reminder to registrants about their
annual compliance program and risk management reviews.
Exam Priorities are always a reflection of current trends and
news, highlighting practices, products and services that OCIE
perceives as current risks to investors or the integrity of the
U.S. capital markets. They have also come to reflect the SEC's
expanded capabilities for monitoring market activity through data
analytics. They are not exclusive – actual exams
