Client Alert
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations recently issued its 2015 Regulatory and Examinations Priorities Letter. While its letter does not provide an exhaustive list of examination focuses, the Office's letter focuses on issues involving investment advisers, broker-dealers, and transfer agents with a particular emphasis on protecting retail investors and investors saving for retirement, assessing market-wide risks, and using data analytics to identify signals of potential illegal activity.
