Compliance Solutions for Investment Advisers

SEC 2017 Examination Priorities

The SEC’s Office of Compliance Inspections and Examinations has published its examination priorities for 2017.

The priorities focus on electronic investment advice, money market funds, and financial exploitation of senior investors. In addition, the priorities “reflect a continuing focus on protecting retail investors, including individuals investing for their retirement, and assessing market-wide risks.”

Click here for a copy of the SEC Release.

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