News & Analysis as of

Capital Markets SEC Examination Priorities

Paul Hastings LLP

Investment Funds & Private Capital Market Insights: Selection and Scope of SEC-Registered Investment Adviser Examinations

Paul Hastings LLP on

On September 6, 2023 the SEC released a risk alert (available here) detailing how the Division of Examinations (the “Division”) utilizes a risk-based approach for both selecting which SEC-registered investment advisers...more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

SEC Releases Examination Priorities for 2023

On February 7, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The published priorities reflect the Division’s...more

Polsinelli

SEC Division of Examinations Announces 2022 Examination Priorities

Polsinelli on

Each year, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (Division) prioritizes the examination of certain practices, products and services that it believes present potentially heightened risks...more

Proskauer - The Capital Commitment

Top Ten Regulatory and Litigation Risks for Private Funds in 2020

The private fund industry is more in the public eye than ever before. Private capital and private markets have experienced massive growth over the last two decades, substantially outpacing the growth of public equity. We have...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Enters Election Year Focused on Key Initiatives

As Chairman Jay Clayton’s tenure at the Securities and Exchange Commission (SEC) likely enters its final year — regardless of the outcome of the next presidential election — the SEC remains focused on priorities such as...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Office of Compliance Inspections and Examinations Announces 2016 Priorities"

On January 11, 2016, the Securities and Exchange Commission (the “SEC”) identified selected 2016 examination priorities of the Office of Compliance Inspections and Examinations (“OCIE”). The priorities reflect certain...more

Burr & Forman

FINRA and SEC Identify Areas of Focus and Examination Priorities for 2016

Burr & Forman on

Each year, FINRA and the SEC publish their priority letters explaining areas of focus for the upcoming year. The priorities reflect practices and/or products that are perceived to present either heightened risk to investors,...more

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