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Variable Annuities Office of Compliance Inspections and Examinations

Carlton Fields

FINRA Trumpets Variable Annuity Sales Problems While SEC Falls Silent

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FINRA’s report on its broker-dealer examination findings for 2018 features a substantial discussion of “Unsuitable Variable Annuity Recommendations.” This is in sharp contrast with FINRA’s 2017 report, which didn’t mention...more

Carlton Fields

SEC Targets Variable Insurance Products

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Once again, the SEC’s Office of Compliance Inspections and Examinations (OCIE) has made variable insurance products an exam priority....more

Ballard Spahr LLP

Investment Management Update - April 2016

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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. ...more

Dechert LLP

SEC 2016 Examination Priorities Focus on Retail Investors, Market-wide Risks and Data Analytics

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The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 11, 2016 announced its examination priorities for this year, which “address issues across a variety...more

Orrick - Finance 20/20

SEC Announces 2016 Examination Priorities

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On January 11, the SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2016 priorities. New areas of focus include liquidity controls, public pension advisers, product promotion, and two popular...more

McGuireWoods LLP

Variable Annuities Are Retirement Investment Product of Interest in SEC’s 2016 Examination Priorities

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As we discussed yesterday, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2016 on January 11 (the “Examination Priorities”)....more

BakerHostetler

SEC Announces 2016 Examination Priorities

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Earlier this week, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) announced its 2016 examination priorities. These priorities are of particular...more

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