This week, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released its Examination Priorities for 2017 that reflects certain practices, products, and services that OCIE perceives to present potentially...more
1/13/2017
/ Anti-Money Laundering ,
Automation Systems ,
Broker-Dealer ,
Investment Adviser ,
OCIE ,
Private Funds ,
Recidivism ,
Retail Investors ,
Retirement Plan ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Security Risk Assessments ,
Senior Investors
This week, FINRA published its Regulatory and Examinations Priorities Letter providing member firms and industry professionals with information about FINRA plans for 2017. While not comprehensive or all inclusive, FINRA’s...more