The SEC's 2017 examination priorities will focus on three
areas: protecting retail investors; risks specific to the elderly
and retiring investors; and market-wide risks. As part of efforts
to protect retail investors, the commission's Office of
Compliance Inspections and Examinations will examine firms that
offer robo-advising and wrap fee programs that charge a single
bundled fee for advisory and brokerage services, among others. A
widened initiative will review investment advisers and brokers
offering variable insurance products and managing target-date
funds. It will also continue to focus on public pension fund
managers and expand its focus on seniors and investors saving for
retirement.
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