Category: Alerts

Alaric Compliance Alert: OCIE Announces 2018 Examination Focus Areas

The SEC Office of Compliance Inspections and Examinations (OCIE) has just announced its top focus areas for 2018 in its effort to protect market participants and promote compliance:

  1. Matters of Importance to Retail Investors – priorities include disclosures of the costs of investing; electronic investment advice; wrap fee programs; mutual funds and exchange traded funds (ETFs); senior investors and retirement accounts; municipal advisors and underwriters; fixed income order execution; the same as last year, investment advisers that have yet to be examined; and new this year, cryptocurrency and initial coin offerings (ICOs).
  2. Compliance and Risks in Critical Market Infrastructure – OCIE will be scrutinizing the processes, procedures as well as the systems’ integrity, resiliency and security of service providers that are vital to properly functioning markets, including clearing agencies, exchanges, transfer agents, and alternative trading systems.
  3. FINRA and MSRB – OCIE will focus on the quality of FINRA’s and MSRB’s internal controls, operations and oversight of broker-dealers and municipal advisors.
  4. Cybersecurity – the agency will continue to make cybersecurity enforcement a top priority, evaluating cyber-related governance and risk assessment, access rights and controls, data loss prevention, vendor management, training and incident response.
  5. Anti-Money Laundering Programs – OCIE will review firms for compliance with anti-money laundering rules as applicable, including filing Suspicious Activity Reports (SARs) with the Financial Crimes Enforcement Network.


CLICK HERE to view and download the OCIE’s 2018 National Exam Program Examination Priorities PDF.


Is your firm compliant with OCIE’s top focus areas?
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  • Turnkey Compliance Support, including On-Site Exam Preparation and Mock Audits
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