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SEC Announces 2017 Examination Priorities

The SEC’s Office of Compliance Inspections and Examinations recently released its 2017 examination priorities. Top areas of focus include electronic investment advice, or robo-advising, as well as wrap fee programs, money market funds, and financial exploitation of senior investors.  OCIE continues its focus on protecting retail investors, including individuals investing for their retirement, and assessing market-wide risks. New initiatives for 2017 include an evaluation of money market funds’ compliance with the SEC’s amended rules, which became effective in October 2016. OCIE also will continue conducting inspections of FINRA's operations and regulatory programs, and assessing the examinations of individual broker-dealers, cybersecurity compliance procedures and controls, including testing the implementation of those procedures and controls at broker-dealers and investment advisers.

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