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News January 18, 2016 Issue

Liquidity Controls, Cybersecurity, ETFs Among OCIE’s 2016 Exam Priorities

Expect the SECís Office of Compliance Inspections and Examinations to scrutinize new areas like liquidity controls and exchange-traded funds in the coming year, while at the same time moving its focus in areas like cybersecurity to a new phase. OCIE last week, in what has become an annual ritual, issued its annual examination priorities.

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