The Securities and Exchange Commission (SEC) has announced its top examination priorities for 2019, emphasizing that its goal is to protect retail investors.
One of those top priorities is cybersecurity, which has been hot news this year in the wake of numerous major data breaches. Another priority is anti-money laundering, which requires investment advisors and investment funds to collect the same kinds of customer information that banks do.
Will your firm be ready when the SEC comes to visit? If you’re not sure, contact Weaver to learn how we can help.
Get the complete 2019 Examination Priorities report here: