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Buckley Commentary & Analysis

"2020 examination priorities: OCIE pushes again on information security"

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations announced its annual examination priorities for 2020 that indicate its growing concerns about information security and digital assets. The priorities, which the office develops in collaboration with enforcement staff, commissioners, and other financial regulators, serve as a broad statement about the risk areas it expects “investment advisers and other market participants to identify and mitigate,” SEC Chairman Jay Clayton said in a statement accompanying the report.

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