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Kathleen Moriarty Discusses ETF Exams with Law360

January 12, 2016

The SEC released a letter detailing its priorities for 2016, with the SEC’s Office of Compliance Inspections and Examinations placing a new probe of ETF operations at the top of the list. This news has led some experts to expect that the agency will create new rules for the fast-growing class of investment products.

Attorneys have not heard any additional information from the SEC’s examination unit on ETFs, but do not expect firms will be able to pass through reviews no matter how much they focus on compliance.

In “ETF Exams May Pave Way For SEC Enforcement Actions,” Corporate partner Kathleen Moriarty spoke with Law360 about the ETF exams, stating, “No one ever gets perfect marks. Everyone knows they are going to get comments [from the exam staff]. The only question is: Are they going to be serious comments?”

» Read the full article on Law360 (with subscription).

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