SEC and FINRA 2019 Examination Priorities

The SEC and FINRA have recently released their examination priorities for 2019. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program. We will discuss topics covered in these releases, including:

  • Protecting retail investors
    • Fees and expenses
    • Disclosure
    • Conflicts of interest
    • Suitability
    • Protecting senior investors
    • Trading and best execution
    • Mutual fund selection
    • Online distribution platforms
  • Anti-money laundering
  • Digital assets
  • Technology and cybersecurity

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