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Browse: Home / 2015 / February / 04 / SEC Eyes and Ears Are Upon Financial Firms: OCIE Announces Examination Priorities for 2015 — Venable

SEC Eyes and Ears Are Upon Financial Firms: OCIE Announces Examination Priorities for 2015 — Venable

By Securities Docket on February 4, 2015, 8:43 am

The Securities and Exchange Commission (SEC) announced the 2015 examination priorities of the Office of Compliance Inspections and Examinations (OCIE) on January 13, 2015. OCIE’s 2015 priorities focus on broker-dealers, investment advisers, and transfer agents and target three areas: (1) protecting retail investors and investors saving for retirement; (2) assessing market-wide risks; and (3) utilizing data analytics to identify and examine potential illegal activity.

via SEC Eyes and Ears Are Upon Financial Firms: OCIE Announces Examination Priorities for 2015 – Venable LLP

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