• Deana La Barbera

SEC's OCIE Reveals 2019 Priorities

Just before the federal government shutdown, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) published its examination priorities for 2019. Retail investors, including retirement savers and seniors are on top of the SEC’s list of those to protect. Retirement accounts and products, conflicts, fees, and mutual funds are just a few of the areas of the SEC’s interest this year. RIA’s are also high on OCIE’s 2019 list. The SEC will continue to focus on the elusive digital asset market and cybersecurity.


FINRA and MSRB have a target on their own heads as well. This should ultimately impact investor protection because those two regulators have far broader reach in their oversight than the SEC’s budget and staffing allow. Essentially, FINRA and MSRB better make sure to dot their “i's” and cross their “t’s”.


Although OCIE’s 2019 preview lacks surprises, it is thorough and will be helpful to industry participants in focusing on areas of regulatory import. The message to investors is, again, that the SEC is doing what it can to look out for you.


If you're an industry participant interested in enhancing your compliance program, give me a call.


https://www.sec.gov/files/OCIE%202019%20Priorities.pdf



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We first began working with Deana in 2005 for some small corporate matters. Since then, she has become an invaluable resource for both business and personal matters. Not only has our corporation been running smoothly under her guidance, but she has been a safety net for all our personal family matters as well. She has assisted multiple generations in our extended family through estate planning and has guided us through personal legal issues. She is truly a well-rounded resource whom we turn to and rely upon for all of life’s twists and turns.

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