SEC Chairman J. Clayton commented, "I appreciate the maximizing the effectiveness of OCIE's own resources, which leads to property verification, market infrastructure, and duties for retail investors."
"As the markets continue to evolve and products and services are available for investors, the OCIs should prioritize the interests of retail investors in their risk-based examination program and examine those aspects of the securities risks to investors and our capital market , "Said OCIE director Pete Drissol.
Protect retail investors
In the areas of focus, among other things, "whether financial professionals should maintain adequate controls and security measures to protect these assets with theft or non-inadequacy, and whether financial professional investors are exposed to the risk of investment The risks associated with these investments are disclosing losses, liquidity risks, price volatility, and potential fraud. "