The SEC’s examination priorities for 2014
The Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (OCIE) recently published the priorities of its National Exam Program (NEP) for 2014 (the ‘2014 Priorities’). The 2014 Priorities focus on areas perceived by the SEC staff to ‘have heightened risk’. The OCIE report addresses both market-wide priorities and priorities that are specific […]