{"id":181,"date":"2016-02-20T16:01:45","date_gmt":"2016-02-20T16:01:45","guid":{"rendered":"http:\/\/localhost\/?p=181"},"modified":"2016-11-01T16:01:52","modified_gmt":"2016-11-01T16:01:52","slug":"sec-2016-examination-priorities-focus-on-retail-investors-market-wide-risks-and-data-analytics","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2016\/02\/20\/sec-2016-examination-priorities-focus-on-retail-investors-market-wide-risks-and-data-analytics\/","title":{"rendered":"OCIE 2016 Exam Priorities: Retail Investors, Market-wide Risks and Data Analytics"},"content":{"rendered":"<p>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 \u201caddress issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, [and] clearing agencies.\u201d 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.<\/p>\n<p>In a separate letter, OCIE identified its priorities for the national securities exchanges.<\/p>\n<p>Read more here: <a href=\"https:\/\/info.dechert.com\/10\/6307\/february-2016\/sec-2016-examination-priorities-focus-on-retail-investors--market-wide-risks-and-data-analytics.asp\" target=\"_blank\">SEC 2016 Examination Priorities Focus on Retail Investors, Market-wide Risks and Data Analytics<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>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 \u201caddress issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, [and] clearing agencies.\u201d The priorities, as in 2015, focus on the &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2016\/02\/20\/sec-2016-examination-priorities-focus-on-retail-investors-market-wide-risks-and-data-analytics\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">OCIE 2016 Exam Priorities: Retail Investors, Market-wide Risks and Data Analytics<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24],"tags":[],"class_list":["post-181","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"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 \u201caddress issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, [and] 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of the U.S. Securities and Exchange Commission (SEC) on January 11, 2016 announced its examination priorities for this year, which \u201caddress issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, [and] clearing agencies.\u201d The priorities, as in 2015, focus on the\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2016\/02\/20\/sec-2016-examination-priorities-focus-on-retail-investors-market-wide-risks-and-data-analytics\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2016-02-20T16:01:45+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2016-11-01T16:01:52+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"OCIE 2016 Exam Priorities: Retail Investors, Market-wide Risks and Data Analytics | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" 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