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SEC s Division of Examinations Releases 2023 Examination Priorities | Kilpatrick Townsend & Stockton LLP

Each year, the SEC’s Division of Examinations (the “Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing,.

City ofUnited kingdomDivision of examinationsDivision of examinations theBank offered rateSee pressInvestment company examination programNational securities exchangesSettlement examination programInvestment companies including mutual fundsExamination prioritiesNotable newSignificant focusRecently adoptedMarketing ruleEvaluation rule

SEC s Division of Examinations Releases 2022 Examination Priorities | Kilpatrick Townsend & Stockton LLP

Each year, the SEC’s Division of Examinations (the “Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing,.

City ofUnited kingdomFund investor protection febDivision of examinationsDivision of examinations theSignificant regulatory overhaul for private fund advisersBank offered rateSee pressDivision examinationsInvestment company examination programNational securities exchangesExaminations of private fund advisersSettlement examination programInvestment companies including mutual fundsSignificant regulatory overhaulPrivate fund advisers

SEC Division Of Examinations Releases Its 2022 Examination Priorities - Corporate/Commercial Law

On March 30, 2022, the SEC's Division of Examinations (the "Division") released its 2022 examination priorities (the "Priorities").

United statesCity ofUnited kingdomPeter driscollPeter driscoll marGurbir grewalCommission interpretation regarding standardBank secrecyDivision of examinationsPurpose acquisition companiesBank offered rateDivision of enforcementSee examination initiativeExchange act ruleInvestment company examinationSignificant rule changes for private fund

SEC gov | Statement on the Renaming of the Office of Compliance Inspections and Examinations to the Division of Examinations

more than 500 municipal advisors, the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC) and the Public Company Accounting Oversight Board (PCAOB). Over the past several years, in addition to responding to the growth in the investment adviser and national securities exchange populations, the Division has assumed examination responsibilities for many new types of registered entities – including private fund advisers, municipal advisors, Regulation SCI entities, and soon-to-be registered securities-based swap dealers – all highlighting the growing breadth and complexity of the Division’s responsibilities. Although conducting examinations is a primary function of the Division, it is not its only function. The Division also plays a significant role in proactively promoting compliance with the federal securities laws, with a focus on preventing problems before they occur. The Div

United statesPete driscollOffice of compliance inspectionsDivision of examinationsDivision of examinations theSecurities investor protection corporationTechnology controls programDivision of enforcementFinancial industry regulatory authorityNational examination programExchange examination programInvestment adviser company examination programSettlement examination programOffice of riskSecurities industry oversight examination programPublic company accounting oversight board

Statement On The Renaming Of The Office Of Compliance Inspections And Examinations To The Division Of Examinations - SEC Chairman Jay Clayton, Commissioner Hester M Peirce, Commissioner Elad L Roisman, Commissioner Allison Herren Lee, Commissioner Caroline A Crenshaw

more than 500 municipal advisors, the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC) and the Public Company Accounting Oversight Board (PCAOB). Over the past several years, in addition to responding to the growth in the investment adviser and national securities exchange populations, the Division has assumed examination responsibilities for many new types of registered entities – including private fund advisers, municipal advisors, Regulation SCI entities, and soon-to-be registered securities-based swap dealers – all highlighting the growing breadth and complexity of the Division’s responsibilities. Although conducting examinations is a primary function of the Division, it is not its only function. The Division also plays a significant role in proactively promoting compliance with the federal securities laws, with a focus on preventing problems before they occur. The Div

United statesPete driscollOffice of compliance inspectionsDivision of examinationsDivision of examinations theSecurities investor protection corporationTechnology controls programDivision of enforcementFinancial industry regulatory authorityNational examination programExchange examination programInvestment adviser company examination programSettlement examination programOffice of riskSecurities industry oversight examination programPublic company accounting oversight board

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