The SEC’s Division of Examinations (EXAMS) published its report on 2025 Examination Priorities on October 21, 2024.
Areas such as artificial intelligence (AI), cybersecurity and crypto assets are top of mind for EXAMS,...more
11/5/2024
/ Artificial Impairment ,
Broker-Dealer ,
Conflicts of Interest ,
Cryptocurrency ,
Cybersecurity ,
Fees ,
Fiduciary Duty ,
Investment Adviser ,
Outsourcing ,
Private Funds ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
The SEC’s Division of Examinations (EXAMS) published its report on 2024 Examination Priorities on October 16, 2023.
The 2024 Examination Priorities continue to reflect an examination program that is vigorous and broad...more
12/18/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Compensation ,
Compliance ,
Conflicts of Interest ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Due Diligence ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
REIT ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (“SEC”) released an annual summary, on November 15, 2022, of actions brought by the Division of Enforcement (“Division”) over fiscal year 2022 (“Enforcement Summary”), providing an...more
12/13/2022
/ Civil Monetary Penalty ,
Climate Change ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Disgorgement ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Fraud ,
Penalties ,
Private Funds ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblowers