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SEC details 2017 examination priorities

Joe Mont | January 12, 2017

The Securities and Exchange Commission has announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 priorities. New areas of focus include electronic investment advice, money market funds, and financial exploitation of senior investors. The priorities also reflect a continuing focus on protecting retail investors, including individuals investing for their retirement, and assessing market-wide risks.

“These priorities make clear we are continuing to focus on a wide range of issues impacting our markets, from traditional areas such as market-wide risks to new forms of technology including automated investment advice,” SEC Chair Mary Jo White said in a statement. “Whether it is protecting our most vulnerable senior investors or those investing in the trillion dollar money market fund industry, OCIE continues its efficient and effective risk-based approach to...

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