Client Alert: 2015 SEC and FINRA Examination Priorities

On January 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) published its Regulatory and Examination Priories Letter for 2015.1 A week later, on January 13, 2015, the Securities and Exchange Commission (“SEC”) announced its Office of Compliance Inspections and Examinations (“OCIE”) priorities for the year.2 Both regulators are increasing their focus on issues in cybersecurity; the United States’ growing senior population; anti-money laundering (“AML”) and complex products, among other areas.

Financial institutions, broker-dealers, investment advisors, transfer agents, and other financial market participants should work quickly to proactively assess and ensure that their current compliance programs adequately address these issues. In an effort to help your organization understand and address the examination priorities, we have provided a summary of the salient provisions.3

Click here to read the client alert.  

1. The full FINRA 2015 Examination priorities letter is available here: p602239.pdf.
2. The full SEC OCIE Examination priorities letter is available here:
3. Navigant does not purport to address every aspect of the respective priorities letters.

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