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Breaking News

January 11, 2016

ACA Insight Breaking News - OCIE 2016 Exam Priorities Include Liquidity Controls, Cybersecurity, ETFs

The SECís Office of Compliance Inspections and Examinations today released its 2016 examination priorities, making clear that while it will step up its scrutiny of established areas like cybersecurity and fee selection, it is also targeting new areas: liquidity controls, exchange-traded funds, and public pension advisers, among them.

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