SEC Outlines 2016 Examination Priorities

On January 11, the SECs Office of Compliance Inspections as well as Examinations released its Examination Priorities for 2016. The assessment top priorities, which deal with problems throughout a range of economic establishments, consist of (i) shielding retail financiers, consisting of those preparing for retired life, by taking on assessments to assess exchange-traded funds (ETFs) and also ETF methods, variable annuity referrals and also disclosure, and also possible problems and also threats including advisors to public pension plan funds; (ii) examining market-wide dangers by, amongst various other point, proceeding to concentrate on cybersecurity controls at broker-dealers and also financial investment advisors; and also (iii) making use of boosted information analytics to analyze anti-money laundering conformity, discover microcap fraudulence, and also total evaluations of extreme trading.