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.
‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn