2016 Solutions for Compliance Professionals

In January, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update, which is focused on the highest perceived risks to investors and the U.S. capital markets for the coming year.1 These priorities address a wide variety of issues impacting the spectrum of financial firms existing throughout the U.S. marketplace. Some of the most notable inclusions covered the areas of cybersecurity, investors saving for retirement, public pension advisers, recidivist misconduct of representatives and their employers’ internal control practices and private placements, including EB-5 program offerings.

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