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Compliance and Regulatory Alerts  |  02-07-23

SEC Division of Examinations Announces 2023 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations has just released its 2023 examination priorities report, focusing on New Investment Adviser and Investment Company Rules; RIAs to Private Funds; protections for Retail Investors and Working Families; Environmental, Social, and Governance (ESG); 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 and chart, coming soon, on the SEC's 2023 exam priorities and how they may impact your legal, regulatory and compliance matters.

FINRA 2023 Exam and Risk Monitoring Report with Bates Chart and Summary

SEC 2022 Exam Priorities with Bates Chart and Summary