Chelsea Childs

Chelsea Childs

Dechert LLP

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SEC 2017 Examination Priorities Focus on Retail Investors, Seniors and Retiring Investors, and Market-Wide Risk Assessment

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 12, 2017 announced its examination priorities for the current year. The priorities extend to nearly...more

2/1/2017  /  Data Privacy , Investor Protection , OCIE , Retail Investors , Retirement , Risk Assessment , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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