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.
Legal Update on OCIE’s 2020 Examination Priorities (authored by Stephanie Monaco and Leslie Cruz):
If you have any questions about the issues raised in this Legal Update or would like assistance with SEC regulatory or other related matters, please contact the above Legal Update authors or any member of our Investment Management practice.