inSecurities Podcast Episode 03: The SEC’s OCIE and FINRA recently released their 2020 exam priorities. Episode three of inSecurities will explore what the priorities tell us.
Related Links
- SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
- 2020 Risk Monitoring and Examination Priorities Letter
inSecurities is a biweekly podcast featuring in-depth conversations with senior regulators, top practitioners, and leading academics, along with "deep dives" on hot topics in the securities regulatory and enforcement world. In an increasingly complex business and regulatory environment, inSecurities co-hosts Chris Ekimoff, a forensic accountant with RSM, and Kurt Wolfe, a securities enforcement attorney at Quinn Emanuel Urquhart & Sullivan, keep you current on key developments.