Former SEC Examiners Provide Perspective on 2018 OCIE Examination Priorities

The SEC Office of Compliance Inspections and Examinations (OCIE) recently issued its 2018 National Exam Program Examination Priorities. A recent program presented by MyComplianceOffice (MCO) focused on the examination priorities concerning retail investors, cybersecurity and anti-money laundering. The program, moderated by MCO marketing executive Joe Boyhan, featured Victoria Hogan, president of NorthPoint, and Colleen Montemarano, a consultant at that firm, each of whom has more than six years of experience as an SEC examiner. This article summarizes their insights. For further coverage of OCIE exam priorities, see 2018 Examination Priorities; 2017 Examination Priorities; and 2016 Examination Priorities. For additional commentary from Hogan and Montemarano, see “Practical Guidance From Former SEC Examiners on Preparing for and Surviving SEC Examinations” (Sep. 1, 2016).

To read the full article

Continue reading your article with a HFLR subscription.