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Rating:White Sets the SEC's Sights on Wrap Fees, ETFs, and More Not Rated 0.0 Email Routing List Email & Route  Print Print
Friday, January 13, 2017

White Sets the SEC's Sights on Wrap Fees, ETFs, and More

News summary by MFWire's editors

Wrap fees, ETFs, roboadvisors, money market mutual funds, and transfer agents are all in the SEC's sights this year ... at least for now.

Mary Jo White
Securities and Exchange Commission
Chiar
Yesterday outgoing SEC Chair Mary Jo White unveiled the 2017 priorities for the regulatory agency's Office of Compliance Inspections and Examinations (OCIE).

Yet there's no word on what take Jay Clayton, President-elect Donald Trump's pick to replace White, has on OCIE's 2017 priorities. White even specifically calls out "automated investment advice" (i.e. roboadvisors) as one of the "new forms of technology" the agency will be evaluating. (Personal Capital, a Silicon Valley startup that markets against roboadvisors, promptly issued a statement that it has already been examined by the SEC.)

Amy Lynch, president and founder of FrontLine Compliance, reminds InvestmentNews that the SEC under Trump might not have the same priorities. The trade publication notes that this is the first time that the SEC has specifically targeted roboadvisors in its examination priorities.

Reuters also covered OCIE's 2017 priorities, focusing on the SEC's interest in evaluating how money market funds are doing with the reforms that finished taking effect last fall. P&I also reported on the news. 

Edited by: Neil Anderson, Managing Editor


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