The Securities and Exchange Commission will continue to make oversight of 401(k) and IRA advice a top initiative in 2016, according to the release of the agency’s exam priorities.
According to the agency’s announcement of priorities for 2016 examinations, the SEC’s Office of Compliance Inspections and Examinations (OCIE) will continue to examine issues for investors saving for retirement, ranging from exams to products, fees, disclosure and “a broad array of information, advice, products and services to retail investors to help them plan for, and live in, their retirement years.”
It will also use a range of examination initiatives “to assess risks … that could arise from these trends.”
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