Meryl Wiener on SEC Exam Priorities 2019

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.

You can listen to Meryl Wiener on SEC Exam Priorities 2019 online on Radio and Podcast. Open the player on this page to stream the available audio.

Meryl Wiener on SEC Exam Priorities 2019 is an episode from WB Perspectives | Podcast Series by WB Perspectives | Podcast Series.

This episode is 00:31:20 long.

This episode was published on Mar 6, 2019.

Yes. Use the heart button on the episode page to add it to your favorite episodes list.

Yes. This page shows related episodes from WB Perspectives | Podcast Series when more episodes are available from the podcast feed.