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ARTICLE · 02 MARCH 2018

SEC, FINRA Target ICOs, Cybersecurity, Secondary Market Trading In 2018 Examination Priorities

Herbert Smith Freehills Kramer LLP
Herbert Smith Freehills Kramer LLP
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Herbert Smith Freehills Kramer LLP

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Many of the areas they highlighted will directly affect the alternative investment sector, and private fund advisers and securities firms should pay particular attention to their activities in such areas.

United StatesTechnology
Kevin Scanlan
Kevin Scanlan
Ronald Feiman
Ronald Feiman
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Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their respective 2018 examination priorities, providing a glimpse into their plans for the year to come.

Many of the areas they highlighted will directly affect the alternative investment sector, and private fund advisers and securities firms should pay particular attention to their activities in such areas. Investment managers should review and/or update their policies and procedures in these areas and in general ensure their compliance with the SEC's and FINRA's requirements.

SEC Priorities

The SEC's Office of Compliance Inspections and Examinations' (OCIE) 2018 examination priorities focus on practices, products and services it believes may present a "potentially heightened risk to investors and/or the integrity of the U.S. capital markets." In addition to activities related to critical market infrastructure and the protection of retail

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