News & Analysis as of May 5, 2025

Cybersecurity › SEC Examination Priorities

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

Lessons From 2024: Tips for Private Fund Managers

SEC Compliance Consultants, Inc. (SEC³) on 1/27/2025

As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025....more

Top Data Privacy & Cybersecurity Considerations in 2025 for RIAs

Winstead PC on 12/17/2024

Compliance and Regulations - Ensure adherence to SEC regulations with appropriate privacy and cybersecurity policies tailored to SEC requirements....more

Ropes & Gray’s Investment Management Update October – November 2024

Ropes & Gray LLP on 12/12/2024

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry. On October 21, 2024, the SEC Division of Examinations (“EXAMS”) published its annual Examination Priorities...more

Summarizing the SEC’s 2025 Examination Priorities Report, Part 2

Cozen O'Connor on 11/22/2024

In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more

Key Takeaways from the SEC's 2025 Exam Priorities

Stinson LLP on 11/20/2024

On October 21, 2024, the Division of Examinations (Division) of the Securities and Exchange Commission (SEC) published its 2025 examination priorities (2025 priorities). The release of the 2025 priorities is intended to...more

SEC Addresses Expected Changes and Continuing Priorities Post-Election

Perkins Coie on 11/19/2024

On November 6, senior officials from the U.S. Securities and Exchange Commission (SEC) Division of Enforcement spoke at the Securities Enforcement Forum D.C. 2024, addressing anticipated leadership changes and enforcement...more

SEC Will Prioritize AI, Cybersecurity, and Crypto in its 2025 Examination Priorities

White & Case LLP on 11/14/2024

On October 21, 2024, the US Securities and Exchange Commission ("SEC") Division of Examinations ("Examination Division") announced its 2025 Examination Priorities ("Report"). Investment advisers and broker-dealers should...more

Securities Enforcement Roundup – October 2024

Morgan Lewis on 11/13/2024

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from October 2024. In October 2024: As discussed in a recent LawFlash, the US Securities and...more

SEC’s 2025 Examination Priorities: Continued Focus on Private Funds and Cybersecurity

Alston & Bird on 11/5/2024

Our Investment Funds and White Collar, Government & Internal Investigations Groups discuss what investment fund advisers and broker-dealers should know about the Securities and Exchange Commission’s Division of Examinations’...more

2025 SEC Exam Priorities for Investment Advisers and Registered Investment Companies

Goodwin on 11/5/2024

On October 21, the Securities and Exchange Commission’s (SEC’s) Division of Examinations (Division) released its examination priorities for 2025, outlining the key topics the Division plans to focus on in the upcoming fiscal...more

SEC Division of Examinations 2025 Exam Priorities – a Focus on Artificial Intelligence, Private Funds, and Cybersecurity

Morrison & Foerster LLP on 11/4/2024

On October 21, 2024, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) announced its 2025 Examination Priorities (the “2025 Priorities”), highlighting areas that it expects to target...more

The SEC’s Division of Examinations Announces 2025 Priorities

Troutman Pepper Locke on 11/1/2024

On October 21, the Securities and Exchange Commission’s (SEC) Division of Examinations announced its 2025 examination priorities (2025 guidance) for registered investment advisers and investment companies, broker-dealers,...more

SEC Division of Examinations Announces 2025 Priorities

Patterson Belknap Webb & Tyler LLP on 10/30/2024

On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more

SEC Division of Examinations Priorities for 2025: Examinations Will Prioritize New Rules for Form PF and Regulation S-P, Fiduciary...

Snell & Wilmer on 10/24/2024

On October 21, 2024, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) issued its annual examination priorities for fiscal year 2025. As with its 2024 examination...more

SEC's 2025 Exam Priorities Include Cybersecurity and AI

Katten Muchin Rosenman LLP on 10/23/2024

On October 21, 2024, the Securities and Exchange Commission’s (SEC's) Division of Examinations (the Division) released its 2025 examination priorities. This year’s examinations will prioritize perennial and emerging risk...more

SEC Testifies Before Congress & Updates from the Division of Corporation Finance

Mayer Brown Free Writings + Perspectives on 10/8/2024

The Chair and Commissioners of the Securities and Exchange Commission testified before the US House of Representatives Committee on Financial Services on September 24, 2024. The SEC’s testimony provided updates on market...more

SEC names Keith E. Cassidy as interim acting Director of Examinations

Orrick, Herrington & Sutcliffe LLP on 8/5/2024

On July 22, the SEC announced that Richard Best, the Director of the Division of Examinations, will take a leave of absence for previously disclosed health reasons, and the deputy director, Keith E. Cassidy, will become the...more

SEC Releases Examination Priorities for 2024

Tannenbaum Helpern Syracuse & Hirschtritt LLP on 12/19/2023

On October 16, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The Division published the priorities earlier...more

SEC’s 2024 Examination Priorities for Investment Advisers

Lowenstein Sandler LLP on 11/14/2023

The U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) recently released its annual Examination Priorities for fiscal year 2024 (the Report). The Report underlines the Division’s focus on...more

SEC Outlines 2024 Examination Priorities

Latham & Watkins LLP on 11/3/2023

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October 16, 2023, the Securities and Exchange Commission’s...more

Thorough Exam: SEC's Division of Examinations Announces Fiscal Year 2024 Priorities

Holland & Knight LLP on 10/26/2023

Amid ongoing federal government shutdown risks and the close of its fiscal year, the U.S. Securities and Exchange Commission's (SEC) Division of Examinations (Exams) recently announced its fiscal year (FY) 2024 priorities....more

SEC EXAMS Division Announces 2024 Priorities Ahead of Schedule

Goodwin on 10/26/2023

On October 16, 2023, the SEC’s Division of Examinations (EXAMS) published its exam priorities for 2024. The timing is notable, with the release coming several months ahead of the typical timeline and only eight months after...more

SEC’s 2024 Examination Priorities for Broker-Dealers

Lowenstein Sandler LLP on 10/26/2023

On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Examination Priorities for fiscal year 2024 (the (“Report”), marking the first time the...more

2023 SEC Exam Priorities

King & Spalding on 9/18/2023

On February 7, the Division of Examinations of the Securities and Exchange Commission (the “Division”) published its 2023 Examination Priorities (the “Exam Priorities”).1 The Exam Priorities indicate a particular Staff...more

Material Investment Management Developments and Template Annual Compliance Checklists for Registered Investment Advisers, Exempt...

Lowenstein Sandler LLP on 4/7/2023

Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below. Summaries of recent legal developments with respect to: •SEC’s 2023 Examination Priorities- ...more

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Cybersecurity › SEC Examination Priorities

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