US regulators to deploy data analytics to prevent unsuitable sales, expand focus beyond structured notes

The US Securities and Exchange Commission (SEC) Division of Enforcement will retain its focus on protecting retail investors and targeting firms improperly advising or selling unsuitable financial products including structured notes, according to remarks from the SEC chairman and commissioners regarding current enforcement initiatives and enforcement priorities for the upcoming year. Highlights from the SEC Speaks 2018: Litigation and Enforcement Trends conference covered a number of initiative