On January 13, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2015 examination priorities for investment companies, investment advisers, broker-dealers and transfer agents. The examination priorities highlight new and continuing areas of interest, including, but not limited to, liquid alternatives, fixed‑income funds and retirement investing by retail investors.
Continue Reading SEC 2015 Examination Priorities Focus on Liquid Alternatives and Fixed-Income Funds