2015 Solutions for Compliance Professionals

Solutions

March 2015

 

At the beginning of every year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issues their updated review of their most crucial examination priorities for the coming year.[1] These priorities address a wide variety of issues impacting the spectrum of financial firms existing throughout the US marketplace. The priorities list is developed in conjunction with the OCIE’s National Examination Program (“NEP”) for registered entities:[2] (1) to aid in improving compliance, (2) to help prevent investor fraud, (3) to create and support informed policies, and (4) to monitor firm-wide and other forms of systemic risk.

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