In January 2015, the SEC announced its Office of Compliance Inspections and Examinations' priorities for 2015. The 2015 examination priorities address issues across a variety of financial institutions, including investment advisers, investment companies, broker-dealers, transfer agents, clearing agencies and national securities exchanges. The examination priorities for 2015 focus on three areas: protecting retail investors, especially those saving for or in retirement; assessing market-wide risks; and using data analytics to identify signs of potential illegal activity.
The related SEC press release is available at: http://www.sec.gov/news/pressrelease/2015-3.html.
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