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Compliance and Regulatory Alerts  |  10-16-23

SEC Division of Examinations Announces 2024 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations has just released its 2024 examination priorities report, focusing on Investment Advisers, Investment Companies, Broker-Dealers, Self-Regulatory Organizations, Clearing Agencies, and Other Market Participants, as well as on current risk areas, including Information Security, Crypto and FinTech, Regulation Systems Compliance, and AML. 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 2024 exam priorities and how they may impact your legal, regulatory and compliance matters.