Bates Research, Compliance and Regulatory Alerts  |  03-30-22

SEC Division of Examinations Announces 2022 Examination Priorities

SEC Division of Examinations Announces 2022 Examination Priorities
Image © [Kristina Blokhin] /Adobe Stock

The Securities and Exchange Commission’s Division of Examinations has just released its 2022 examination priorities report, focusing on Private Funds, ESG Investing, Standards of Conduct (including Regulation Best Interest, Fiduciary Duty, and Form CRS), Information Security and Operational Resiliency, and Emerging Technologies and Crypto-Assets. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. You can read the press release here

Stay tuned for our annual commentary, coming soon, on the SEC's 2022 priorities and how they may impact your legal, regulatory and compliance matters.

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