The U.S. Securities and Exchange Commission’s inspections branch released a list of issues on Thursday that it will target in its 2017 exams of broker-dealers, investment companies and other commission-covered entities, including the activities of “robo- advisers” and cybersecurity weaknesses.
The annual list from the SEC’s Office of Compliance Inspections and Examinations, which embarked on around 2,400 formal exams last year in order to monitor risk and uncover misconduct, comes at a time of change for the commission, as Chairwoman Mary Jo White prepares to step down at the end of President Barack Obama’s term.
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