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

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