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SEC publishes examination priorities for 2017

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Jan 12, 2017

On January 12, 2017, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations published its examination priorities for 2017.

The priorities focus on electronic investment advice, money market funds, and financial exploitation of senior investors. In addition, the priorities “reflect a continuing focus on protecting retail investors, including individuals investing for their retirement, and assessing market-wide risks.”

The document is not necessarily comprehensive and “may be adjusted in light of market conditions, industry developments, and ongoing risk assessment activities.”

Review the press release and the 2017 examination priorities on the SEC’s website.

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