The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
SEC Risk Alert Outlines ESG Exam Focus Areas, Related Deficiencies, Effective Compliance Practices April 12, 2021 The SEC’s Division of Examinations has issued a Risk Alert describing areas of...
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement March 9, 2021 Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of...
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