Jump to content

US SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities


VanGogh
 Share

Recommended Posts

https://www.sec.gov/news/press-release/2018-299

"The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) today announced its 2019 examination priorities. OCIE publishes its exam priorities annually to promote transparency of its examination program and provide insights into the areas it believes present potentially heightened risk to investors or the integrity of the U.S. capital markets. This year, particular emphasis will be on digital assets, cybersecurity, and matters of importance to retail investors, including fees, expenses, and conflicts of interest".   

Link to comment
Share on other sites

"Interesting that the individual and bold highlighted descriptions of the six categories that they are reviewing, left out digital assets. Kind of peculiar that they didn't want to add any further description of their focus." 

It may simply be an error by accidentally skipping the fourth bulleted item and not catching it.

It is discussed on page 11 of the 12 page 2019 Exam Priorities report.  Granted it doesn't provide the long-sought bone of... We'll finally look at XRP and render a verdict of security or not a security.  It would be nice if they could focus like that.  Hopefully, my uploaded image appears below...

Page 11.PNG

Link to comment
Share on other sites

Create an account or sign in to comment

You need to be a member in order to leave a comment

Create an account

Sign up for a new account in our community. It's easy!

Register a new account

Sign in

Already have an account? Sign in here.

Sign In Now
 Share


×
×
  • Create New...

Important Information

We have placed cookies on your device to help make this website better. You can adjust your cookie settings, otherwise we'll assume you're okay to continue.