OCIE 2020 Exam Priorities

Crowell & Moring and Silver Regulatory Associates will discuss Digital Assets, AML and the Impact on Your Organization.

On January 7, 2020, the OCIE of the Securities and Exchange Commission, responsible for overseeing investment advisers, broker-dealers and others, announced its 2020 examination priorities. We will review these priorities, with special attention paid to financial technology and innovation, including digital assets and anti-money laundering (AML) programs.

We will cover:

• OCIE Monitoring of Digital Assets – Offers and sales, trading and management
• Regulatory Compliance of Digital Assets as Securities – Portfolio management, custody of digital assets, pricing portfolios and internal policies and controls
• OCIE Review of AML Programs – Compliance with AML requirements and adoption of appropriate AML programs 
• Financial Stability Oversight Council – Recommendations around digital assets in 2019 Annual Report

Speakers

• Michelle Gitlitz, Partner, Global Head of Blockchain & Digital Assets, Crowell & Moring
• Carlton Greene, Partner, Crowell & Moring
• Fizza Khan, CEO, Silver Regulatory Associates

For questions about this breakfast, please email Nellica Ducreay.