In the Jan.18 edition of ACA Insight, investment management counsel David Tittsworth (Washington, D.C.) states that the SEC’s Office of Compliance Inspections and Examinations annually publish list of priorities is “a must-read document for every chief compliance officer.” For 2016, Mr. Tittsworth especially “recommend[s] that ETFs, advisers handling retirement accounts, and private funds pay particularly close notice”, as new areas that OCIE will be keeping a close watch on.
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