Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA Release 2016 Examination Priorities - The Financial Industry Regulatory Authority (FINRA) and the U. S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published their examination priorities for 2016. Both OCIE and FINRA are increasing their examination focus on protection of retail investors, market risks posed by technology, anti-money laundering (AML) compliance, and issues related to liquidity.
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