The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2024 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more
10/26/2023
/ Business Valuations ,
Compliance ,
Conflicts of Interest ,
Cryptoassets ,
Disclosure Requirements ,
Examination Priorities ,
Fees ,
Fraud ,
Illiquid Assets ,
Information Security ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Portfolio Managers ,
Proprietary Trading ,
Reporting Requirements ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2023 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more
2/16/2023
/ Conflicts of Interest ,
Environmental Social & Governance (ESG) ,
Fair Valuation ,
Fraud ,
Information Security ,
Investment Adviser ,
Investment Companies ,
Retail Investors ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)