Far from the White House and the halls of Congress, compliance officers are preparing their compliance plans for 2017. On everyone’s mind: What will the Trump administration’s commitment to deregulate mean for compliance priorities? The short answer is “not much,” at least for the near-future. To predict what’s in store for the immediate future, compliance officers need only to look at the Examination Priorities for 2017 of the National Exam Program (NEP) of the SEC’s Office of Compliance Inspections and Examinations (OCIE). Regulations may come and go, but OCIE will stay focused on these key areas, and OCIE’s examination efforts are likely to be insulated from the swirl of political and regulatory intrigue that surrounds them.
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