Webinar: SEC Examination Priorities 2017

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently announced its national exam priorities for 2017. This webinar will discuss OCIE’s new priorities for 2017, as well as continuing areas of focus from 2016.

New priorities for 2017 are:
– Mutual Fund Share Class Selection
– Advice to Seniors
– Wrap Fee Programs, including Suitability, Disclosures and Trading Practices
– Electronic Investment Advice/Robo-Advisers

Continuing areas of focus from 2016 include:
– SEC’s ReTIRE Initiative
– Supervision of Branch Offices
– Never Been Examined Advisers
– Advisers Who Employ Recidivist Representatives and their Supervision Controls

Our experts will provide practical guidance and tips to assist your firm in addressing these issues