Client Alert
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations recently issued its 2015 Regulatory and Examinations Priorities Letter. While its letter does not provide an exhaustive list of examination focuses, the Office's letter focuses on issues involving investment advisers, broker-dealers, and transfer agents with a particular emphasis on protecting retail investors and investors saving for retirement, assessing market-wide risks, and using data analytics to identify signals of potential illegal activity. 

Related Practices

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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