Category Archives: Compliance

OCIE 2016 Exam Priorities: Retail Investors, Market-wide Risks and Data Analytics

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 11, 2016 announced its examination priorities for this year, which “address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, [and] clearing agencies.” The priorities, as in 2015, focus on the following: protecting retail investors and investors saving for retirement; assessing market-wide risks; and using data analytics to identify elevated risk profiles and signal potential illegal activity.

In a separate letter, OCIE identified its priorities for the national securities exchanges.

Read more here: SEC 2016 Examination Priorities Focus on Retail Investors, Market-wide Risks and Data Analytics