In the Margins

SEC's OCIE lists 2016 exam priorities

January 11, 2016

By Securities and Exchange Commission

The Securities and Exchange Commission Office of Compliance Inspections and Examinations announced its 2016 priorities on Monday. New areas of focus include liquidity controls, public pension advisers, product promotion, and exchange-traded funds and variable annuities. The priorities also continue to focus on "ongoing risk areas" such as cybersecurity, micro-cap fraud, fee selection, and reverse churning. Read the SEC's press release and Examination Priorities for 2016

 

 

Most Read

Top of the Agenda - Regulatory
In-person voting relief extended through year-end

Mutual fund boards can continue conducting business—including voting on contract approvals and renewals and other important matters—virtually through the end of 2020, according to the Securities ...

Top of the Agenda - Governance
Recruiting in the time of coronavirus

Mutual fund boards seem well on their way to mastering the art of conducting business virtually, but one area that may still be a challenge during ...