The Securities and Exchange Commission has made good on its promise to prioritize retirement savings.
Last week the Office of Compliance Inspections and Examinations launched the Retirement-Targeted Industry Reviews and Examinations Initiative, a multi-year program that will home in on RIAs' and broker-dealers' advisory practices to retirement investors in the retail market.
An alert issued by the OCIE said the new ReTIRE initiative will combine information from previous exams with new due diligence and data sweeps to determine which advisors and brokers will be subject to exams.
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Nick Thornton
Nick Thornton is a financial writer covering retirement and health care issues for BenefitsPRO and ALM Media. He greatly enjoys learning from the vast minds in the legal, academic, advisory and money management communities when covering the retirement space. He's also written on international marketing trends, financial institution risk management, defense and energy issues, the restaurant industry in New York City, surfing, cigars, rum, travel, and fishing. When not writing, he's pushing into some land or water.
