SEC Seeks to Hire 100 New Compliance Examiners in 2016

According to recent reports, the Securities and Exchange Commission (SEC) seeks to hire 100 new compliance examiners by October 2016. The plans by the enforcement to expand staff by 20% have substantial ramifications for investment firms who can anticipate that more examiners will ultimately mean more examinations.

Read More

SEC Announces 2016 Exam Priorities

Jan 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) published examination priorities for 2016.

Read More