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SEC Announces 2016 Examination Priorities

Joe Mont | January 11, 2016

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations has released an overview of its examination priorities for 2016. The 2016 examination priorities address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies, and national securities exchanges

New areas of focus include liquidity controls, public pension advisers, product promotion, exchange-traded funds, and variable annuities. A continuing focus will be placed on protecting investors in ongoing risk areas such as cyber-security, microcap fraud, fee selection, and reverse churning.

Regarding retail investors, OCIE will continue several 2015 initiatives to assess risks to retail investors...

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