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SEC publishes examination priorities for 2016

  • SEC (US Securities and Exchange Commission) Image

Jan 11, 2016

The SEC’s Office of Compliance Inspections and Examinations has published its examination priorities for 2016. The priorities focus on liquidity controls, public pension advisers, product promotion, exchange-traded funds, and variable annuities. The priorities also “reflect a continuing focus on protecting investors in ongoing risk areas such as cybersecurity, microcap fraud, fee selection, and reverse churning.”

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

For more in­for­ma­tion, see the press release and 2016 ex­am­i­na­tion pri­or­i­ties on the SEC’s Web site.

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