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Innovative Technology SEC Examination Priorities Securities and Exchange Commission (SEC)

Carlton Fields

SEC 2025 Examination Priorities Shine Light on AI

Carlton Fields on

Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more

Herbert Smith Freehills Kramer

OCIE Releases 2020 Examination Priorities

The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published its 2020 Examination Priorities, an annual publication that enhances transparency and provides insights into...more

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