Risk Alert: Retirement-Targeted Industry Reviews and Examinations Initiative
June 22, 2015
Topic: Retirement-Targeted Industry Reviews and Examinations Initiative Key Takeaways: NEP staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to retail investors.
Examination focus areas include: reasonable basis for recommendations; conflicts of interest; supervision and compliance controls; and marketing and disclosure.
View the Risk Alert:
Retirement-Targeted Industry Reviews and Examinations Initiative (PDF)
Modified: Feb. 6, 2017