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SEC examiners will be paying close attention to liquidity controls, public pension advisers, product promotion, exchange-traded funds and variable annuities.
Liquidity controls, public pension advisers, product promotion, exchange-traded funds and variable annuities are on the SEC’s radar as far as issues that have risen to the top for the regulator’s examination priorities in 2016. Through the Office of Compliance Inspections and Examinations (OCIE), the SEC is setting priorities for the new year, and in addition...
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