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SEC Examiners On the Hunt for Sales Conflicts, Robo Violators, Ignites

January 08, 2020

Morgan Lewis partner Ivan Harris was interviewed by Ignites for an article about the US Securities and Exchange Commission’s (SEC) priorities regarding inspecting fund-related matters in 2020. In the article he discussed the SEC’s Office of Compliance Inspections and Examinations focus on advice rules in 2020 exams. “You usually don’t see OCIE focusing on new regulations so quickly,” Ivan Said. “OCIE is saying to both broker-dealers and investment advisors that you need to be focusing on implementation of those now, if you haven’t been doing so already.”

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