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.Register Now