By the Numbers: SEC Division of Enforcement Publishes FY2019 Report

WHAT HAPPENED?

Recently, the Division of Enforcement of the Securities and Exchange Commission released their annual report which includes detailed information about the Commission’s enforcement efforts for fiscal year 2019. In line with OCIE’s 2019 Examination Priorities, the Commission is primarily focused on protecting retail investors, who are often particularly vulnerable to misconduct in the securities market. Below are some highlights from the report:

Fairview will keep you up-to-date on the upcoming release of the OCIE 2020 Exam Priorities and how they may affect your firm.

About the Author:

Fairview®
Founded in 2005 with the goal of developing streamlined solutions for investment advisers, Fairview® is now servicing investment advisers, foundations, and funds with over $196 billion in collective assets.