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ARTICLE · 07 FEBRUARY 2020

SEC's OCIE Releases Its 2020 Examination Priorities

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On January 7, 2020, the US Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") released its 2020 examination priorities.

United StatesFinance and Banking
Peter McCamman
Peter McCamman
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On January 7, 2020, the US Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") released its 2020 examination priorities. While a number of the 2020 priorities are continuations from the prior year, OCIE made certain enhancements and/or additions to these exam priorities that are similar to themes highlighted in its risk alerts and regulatory initiatives during 2019. A closer look at issues raised in the 2020 OCIE priorities, along with some key takeaways, can be found in the following Mayer Brown Legal Update, which focuses specifically on the examination priorities for investment advisers and registered investment companies.

https://www.mayerbrown.com/en/perspectives-events/publications/2020/01/ocies-2020-examination-priorities-variations-on-recurring-themes

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