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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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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