Five key SEC priorities in 2024

SEC Staff Play the Hits: 2024 Exam Priorities Focus on Private ...

SEC Staff Play the Hits: 2024 Exam Priorities Focus on Private Funds, Marketing and Crypto · Private Funds Adviser Focus Areas Expand.

SEC outlines examination priorities for fiscal year 2024 - Baker Tilly

The U.S. Securities and Exchange Commission (SEC) outlined examination priorities for Fiscal Year 2024, focusing on compliance, ...

Lee Garfinkle on LinkedIn: Five key SEC priorities in 2024

An EY brief on key SEC priorities for 2024 that describes how the SEC's agenda is expected to include promoting transparency, ...

Crypto and Cybersecurity Among Top SEC Priorities for 2024

The Securities and Exchange Commission (SEC) released its 2024 examination priorities on the key risks, topics, and priorities it plans to ...

SEC Plans to Issue 4 Proposals by End of 2024

The SEC believes this rulemaking is important because financial firms are increasingly using advanced technologies, such as artificial ...

EXAMS Publishes 2024 SEC Examination Priorities - Fried Frank

The 2024 Priorities include focus areas for investment advisers, registered investment companies, broker-dealers, self-regulatory organizations, ...

SEC Lists Crypto and Information Security Among its 2024 ...

The 2024 priorities report outlines three noteworthy risk areas that are relevant to most capital markets participants.

RIAs: Keep the SEC's 2024 examination priorities top of mind

Fiduciary responsibility · Annual review of compliance program · SEC Marketing Rule · Private fund adviser-specific areas to watch · Preparing your ...

2024 SEC Examination Priorities: Remember the Essentials While ...

New to the priorities in 2024 is a reference to the obligations of investment advisers and broker-dealers to comply with sanctions imposed by ...

SEC's 2024 Examination Priorities: Key Trends and Changes

The SEC emphasizes the need for banks to implement appropriate AML programs tailored to their size and operations. Crypto assets' risks and ...

Navigating the SEC's 2024 Examination Priorities

Concerns surrounding complex, high-cost, and illiquid products persist in the 2024 priorities. The SEC plans to scrutinize leveraged exchange- ...

Securities and Exchange Commission 2024 examination priorities

1. Information Security and Operational Resiliency · 2. Crypto Assets and Emerging Financial Technology · 3. Regulation Systems Compliance and ...

Analysis of SEC's 2024 Exam Priorities for Private Fund Advisers

Allocations of investment opportunities across multiple funds and other clients also will continue to be a focus of the SEC examination staff, ...

SEC Division of Examinations: 2024 Priorities - Sia Partners

Key areas of focus in fiscal year 2024 include risk management of liquidity, models and model validation, margin systems, third-party ...

Key takeaways from the SEC's 2025 Examination Priorities

The SEC's 2025 Examination Priorities continue trends seen in 2024 with an increased weight on topics like AI and operational resilience.

2024 SEC Examination Priorities | Acuity Knowledge Partners

2024 SEC Examination Priorities: Consumer protection, elevating trust, emerging fintech, cryptoDescription: The US Securities and Exchange ...

Understanding SEC's 2024 exam priorities and enforcement agenda

The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities in relation to the many areas, ...

SEC Announces 2024 Examination Priorities - Compliance Chief 360

This year's examinations will prioritize areas that pose emerging risks to investors or the markets in addition to core and perennial risk areas ...

SEC Division of Examinations' 2025 Priorities | Winston & Strawn

On October 21, 2024, the U.S. Securities and Exchange Commission's (the SEC) Division of Examinations (the Division) announced its annual ...

SEC Matters to Consider in the New Year: 2024 Exam Priorities and ...

Although off-channel communications were not directly addressed in the SEC's 2024 Exam Priorities, recent enforcement actions show this is an ...