In the Margins

SEC lists 2017 exam priorities

January 12, 2017

By Securities and Exchange Commission

The Securities and Exchange Commission has announced 2017 priorities for its Office of Compliance Inspections and Examinations. Areas of focus include electronic investment advice, money market funds, and financial exploitation of senior investors. “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,” said Chair Mary Jo White. Read the announcement from the SEC.

 

 

Most Read

Top of the Agenda - Governance
Schwab Funds board recruits ahead of retirement

The board overseeing mutual and exchange-traded funds managed by Charles Schwab Investment Management is in recruitment mode to fill a seat that will be vacated by ...