SEC 2023 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations announced its 2023 examination priorities. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.

The following are a selection of the Division’s 2023 priorities:

-New Investment Adviser and Investment Company Rules

-RIAs to Private Funds

-Retail Investors and Working Families

-Environmental, Social, and Governance (ESG)

-Information Security and Operational Resiliency

-Emerging Technologies and Crypto-Assets

See full release below:

Ref: https://www.sec.gov/news/press-release/2023-24
Ref: https://www.sec.gov/files/2023-exam-priorities.pdf