January 22, 2015
January 21, 2015

2015 Exam Priorities Issued by OCIE

The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2015 examination priorities. OCIE stated that the priorities reflect certain practices and products that OCIE perceives to present potentially heightened risk to investors and/or the integrity of our capital markets. OCIE conducts examinations of registered entities, including investment advisers,…

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