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

 

 

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