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SEC Announces 2015 Examination Priorities

Joe Mont | January 13, 2015

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations has released its examination priorities for 2015, describing a planned focus on assessing market-wide risks, protecting retail investors, and using data analytics to identify signs of potential illegal activity.

The 2015 examination priorities address issues across a variety of financial institutions, including national securities exchanges, investment advisers and companies, broker-dealers, transfer agents, and clearing agencies. In terms of market-wide risks, OCIE will examine for structural risks and trends that involve multiple firms or entire industries, including annual examinations of clearing agencies as required by the Dodd-Frank Act and assessing cyber-security controls. The agency will also examine proxy advisory service firms, assessing how they make recommendations on proxy...

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