ComplianceAlert

SEC Examiners will be busy in 2016

This week the Office of Compliance Inspections and Examinations (OCIE) issued its Examination Priorities for 2016 (the annual memo is typically released each January). The memo is stunning in its similarity to the 2015 memo. It contains many of the same themes such as a strong retirement account/investor focus, branch office exams, fees and expenses,…

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