31 min
Meryl Wiener on SEC Exam Priorities 2019 WB Perspectives | Podcast Series
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- Business
Warshaw Burstein partner Meryl Wiener examines the newly announced SEC Examination Priorities for 2019. She outlines what SEC registered entities, from established broker-dealers to newly-formed investment advisers to hedge funds, should consider in dealing with a routine examination by the SEC. Meryl notes that due to manpower and cost constraints, the SEC Office of Compliance Inspection and Examinations (OCIE) only is able to examine a small fraction of entities that are subject to SEC rules and regulations. Every year OCIE announces a list of priorities that it will consider in choosing which entities to examine and that will determine the scope of the examinations. This year’s list includes a new priority, digital assets, which includes cryptocurrencies, coins and tokens, as the number of digital asset market participants has grown rapidly.
Warshaw Burstein partner Meryl Wiener examines the newly announced SEC Examination Priorities for 2019. She outlines what SEC registered entities, from established broker-dealers to newly-formed investment advisers to hedge funds, should consider in dealing with a routine examination by the SEC. Meryl notes that due to manpower and cost constraints, the SEC Office of Compliance Inspection and Examinations (OCIE) only is able to examine a small fraction of entities that are subject to SEC rules and regulations. Every year OCIE announces a list of priorities that it will consider in choosing which entities to examine and that will determine the scope of the examinations. This year’s list includes a new priority, digital assets, which includes cryptocurrencies, coins and tokens, as the number of digital asset market participants has grown rapidly.
31 min