Tuesday, January 12, 2016

SEC Announces 2016 Examination Priorities

On January 11, 2016, the SEC announced its examination priorities for the coming year.

The brief statement by the SEC's Office of Compliance Inspections and Examination ("OCIE") is fairly consistent with the direct and anecdotal messaging they have been sending. They have retained most of the 2015 priorities and added additional focus areas. The 2016 priorities include a deeper focus on market-wide risks, protections for retail investors and of course becoming more efficient with data and exam protocols.

The SEC Press Release can be found at https://www.sec.gov/news/pressrelease/2016-4.html.

AdvisorAssist will be emailing a Regulatory Alert with more detail.

Please contact us with any questions.


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