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2022 SEC Exam Priorities and Related Rule Proposals

May 05, 2022 from 1:00 PM to 2:00 PM (ET)

On March 30, the SEC Division of Examinations published its 2022 Examination Priorities. For investment advisers, the Division will continue to examine core and perennial risk areas such as marketing practices, custody and safety of client assets, valuation, portfolio management, brokerage and execution, conflicts of interest, related disclosures and, of course, cybersecurity.

This year’s examination priorities also reflect the ambitious regulatory agenda set by SEC Chair Gary Gensler in prioritizing the following focus areas:

  • Private Funds
  • ESG Investing
  • Fiduciary Duty and Form CRS
  • Information Security and Operational Resilience
  • Emerging Technologies and Crypto-Assets

Join the IAA Legal Team as we provide key takeaways from the 2022 Examination Priorities and discuss how the SEC’s rulemakings relating to these focus areas could affect examinations.

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If you have questions about this webinar or need help registering, please contact Lisa Gillette at lisa.gillette@investmentadviser.org.

Webinar Speakers

Monique S. Botkin is Associate General Counsel of the IAA. Prior to joining the IAA in 2004, she was an associate in the financial services groups at Dechert LLP in Newport Beach, CA and Alston & Bird LLP in Washington, DC. While in private practice, Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review.

Laura L. Grossman is Associate General Counsel of the IAA. Prior to joining the IAA in 2012, she was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act, the Investment Company Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Grossman received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania.

Sanjay Lamba is Associate General Counsel at the IAA. Prior to joining the IAA, Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University.

William A. Nelson is Associate General Counsel at the IAA. Previously, he was Assistant General Counsel and Public Policy Counsel at CFP Board and Chief Compliance Officer for Mercer Advisors. He has also held roles as an attorney with both the U.S. Departments of Justice and Veterans Affairs. Nelson has served as an Adjunct Professor at the University of Denver Sturm College of Law and George Washington University Law School. He received his undergraduate degree from the University of Tulsa, his J.D. with Honors from the University of Tulsa College of Law, and his LL.M. from the George Washington University Law School.

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