As the financial marketplace continues to evolve at a rapid pace, the Office of Compliance Inspections and Examinations (OCIE) remains dedicated to protecting investors and supporting registrants by maintaining a risk-based approach to examinations focused on improving compliance; preventing fraud; monitoring risk; and informing policy.
OCIE recently published its FY 2019 EXAMINATION PRIORITIES REPORT, and included SIX PRIMARY THEMES on which its examination efforts will focus.
MATTERS OF IMPORTANCE TO RETAIL INVESTORS, including seniors and those saving for retirement
Compliance and risk in registrants responsible for CRITICAL MARKET INFRASTRUCTURE
SELECT AREAS AND PROGRAMS of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB)
DIGITAL ASSETS, which includes cryptocurrencies, coins, and tokens
This is not an exhaustive list. OCIE continually monitors and evaluates changes in market conditions, industry practices, and investor preferences to assess potential risks to investors and the markets; as such, should new risks emerge, these areas of focus may change.
Modified: April 1, 2019