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.

April 01, 2022

Keywords: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions

Categories & Topics: Compliance, Examinations

SEC Risk Alert Outlines ESG Exam Focus Areas, Related Deficiencies, Effective Compliance Practices

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April 12, 2021

Keywords: ESG, Examinations

Categories & Topics: Compliance, ESG, Examinations, Industry-Level

Seven Tips for Preparing for an SEC Exam

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March 30, 2021

Keywords: Columns, Compliance Conference, Examinations, Form CRS, Takeaways

Categories & Topics: Compliance, Examinations

SEC Exams Director Driscoll Addresses Newly Announced 2021 Exam Priorities at IAA Compliance Conference

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March 05, 2021

Keywords: Compliance, Examinations

Categories & Topics: Compliance, Examinations

SEC Announces Enforcement Task Force on Climate and ESG

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March 05, 2021

Keywords: Allison Herren Lee, Elad Roisman, ESG, Examinations, Hester Peirce, SEC Corporation Finance, SEC Enforcement

Categories & Topics: Compliance, Enforcement, ESG, Industry-Level

SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets

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March 01, 2021

Keywords: FinTech, Digital Assets, Examinations, Risk Alert

Categories & Topics: Compliance, Compliance Programs, FinTech & Digital

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