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SEC publishes examination priorities for 2014

  • SEC (US Securities and Exchange Commission) Image

Jan 09, 2014

The SEC’s Office of Compliance Inspections and Examinations has published its examination priorities for 2014. The priorities cover issues that span the entire market, as well as those relating to specific business models and organizations.

The market-wide priorities include:

  • Fraud detection and prevention
  • Corporate governance and enterprise risk management
  • Technology controls
  • Issues posed by the convergence of broker-dealer and investment adviser businesses and by new rules and regulations
  • Retirement investments and rollovers

Specific priorities are also presented for the following program areas: (1) investment advisers and investment companies, (2) broker-dealers, (3) exchanges and self-regulatory organizations, and (4) clearing and transfer agents.

The document is not necessarily comprehensive and may be updated throughout the year, taking into consideration ongoing risk assessment activities.

For more information, see the press release and 2014 examination priorities on the SEC’s Web site.

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