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Q4 2023 Asset Management Regulatory Update - Securities

On October 16, 2023, the Securities and Exchange Commission's (the "SEC" or the "Commission") Division of Examinations (the "Division") released its 2024 examination priorities (the "Priorities").

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Summary of the SEC s 2024 Examination Priorities for Registered Investment Advisers | Robinson Bradshaw

Yesterday, the United States Securities and Exchange Commission (the “SEC” or the “Commission”) Division of Examinations released its examination priorities to inform market.

United statesCommission division of examinationsExchange commissionUnited states securitiesInvestment advisers actAdvisers act

Statement Concerning Certain IAC Recommendations, SEC Commissioner Hester M Peirce, June 22, 2023

Statement Concerning Certain IAC Recommendations, SEC Commissioner Hester M Peirce, June 22, 2023
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Investor advisory committeeCommission examinationsCommission division of examinationsRegistered investment adviser oversightSingle stockMarket structure subcommitteeAdvisory committeeProposed rule

SEC Releases 2023 Examination Priorities - Compliance

On February 7, 2023, the Securities and Exchange Commission's Division of Examinations (the "Division") published its 2023 Examination Priorities report, in which it highlighted key compliance areas.

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SEC Action Against Faulty ESG Policies

ESG funds are Wall Street’s latest way to take something old, call it new and jack up the price. The Commission’s enforcement action charges that GSAM failed to meet regulatory requirements in establishing and operating GST investment vehicles claiming to offer ESG investments.

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