To read this article, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
New to Regulatory Compliance Watch?
Register now to read this article and more for free.
This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities reflect certain practices and products that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. capital markets.
You should only be asked to sign in once. Not the case? Click here
Register now to read this article and more for free.
Copyright PEI Media
Not for publication, email or dissemination