New OCIE Examination Priorities Aim to Protect Investors Saving for Retirement

Posted on July 31st, 2015 at 11:23 AM

From the Desk of Jim Eccleston at Eccleston Law LLC:

In early 2015, OCIE announced that it will launch a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) initiative. This new initiative will have a focus on retail investors and investors saving for retirement. OCIE has launched the initiative claiming that investors are more dependent than ever on their own investments for retirement, and that they face an evolving set of factors involving their investment decisions.

With the help of the National Examination Program (NEP), OCIE will conduct examinations of SEC-registered investment advisers and broker-dealers. OCIE examinations will focus on high-risk investments, including reasonable basis suitability and conflicts of interest.

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston

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