Law Blog Tag: Never-before-examined Investment Advisors

SEC Announces Examination Priorities For 2017

March 07, 2017 in SEC

On January 12, 2017, the SEC announced its Office of Compliance Inspections and Examinations (OCIE) priorities for 2017. The OCIE examines and reviews a wide variety of financial institutions, including investment advisors, investment companies, broker-dealers, transfer agents, clearing agencies and national securities exchanges. The OCIE examination goals are to promote compliance, prevent fraud, identify risk Read the full article…