On October 21, 2024, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) published its 2025 examination priorities (“Exam Priorities”). Although President-elect Trump has pledged to dismiss SEC Chair Gary Gensler on “day one” and significant changes are...
n October 16, 2024, the Division of Examinations (“Division”) of the Securities and Exchange Commission (“SEC”) published its examination priorities for 2024 (the “2024 Priorities”)
SEC OCIE Exam Priorities Include Dual Registrants, Technology Use, JOBS ActBadway, Ernest
2024 (the Exam Priorities). The annual Exam Priorities report, which is designed to augment the Division’s periodic risk alerts, provides insights into the Division’s—and by extension the broader SEC’s—current thinking and areas of
New SEC Priorities for 2021 Climate and ESG SEC will focus on environmental, social and governance (ESG) matters in light of market developments and increasing awareness in this space. The agency will look at the implications of climate change upon registrants’ operations, the consistency and ade...
viii. Vanderford, Richard, “SEC Probes Investment Advisers’ Use of AI,” The Wall Street Journal, December 10, 2023. Esta é uma tradução do conteúdo de EY US. A versão original está disponível em:Five key SEC priorities in 2024. ...
A Crowe specialist looks at 2023 SEC exam priorities relevant to accounting and financial reporting matters of note to registered investment advisers.
SEC Division of Examinations’ 2023 Exam Priorities – A Continued Focus on Private Funds, Regulation Best Interest, ESG, and Crypto Top 5 SEC Enforcement Developments for January 2023 See more DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicab...
The SEC’s Office of Compliance Inspections and Examinations recently announced its 2020 examination priorities, which focus on key areas of risk for the financial services and asset management industries. This Bottom Line videocast discusses:
SEC's exam priorities are 'roadmap' for fund boards Fund Board Views November 18, 2024 Press Clippings Stradley Ronon Partner Miranda Sturgis Joins Women in ETFs for ETF Share Class Presentation November 18, 2024 Firm News Stradley Ronon Partner Michael Mundt Joins MFDF to Present ETF ...