Five key SEC priorities in 2024

SEC's 2024 Exam Priorities: Registered Investment Advisers Still in ...

SEC's 2024 Exam Priorities: Registered Investment Advisers Still in the Spotlight · Areas of focus in investment adviser examinations, generally ...

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 ...

2024 SEC Examination Priorities: New Approaches to Old Areas of ...

For 2024, this focus will include, among other things, information security and operational resiliency, and crypto assets and emerging financial ...

The SEC's Division of Examinations Publishes 2022 ... - K&L Gates

... Securities and Exchange Commission (SEC) released its examination priorities for the 2022 fiscal year. The Division highlighted five ...

2024 Expectations From the SEC: AI, Cybersecurity, ESG | FTI

Taking into consideration this year's priorities, recent rules and a rapidly changing regulatory landscape, our experts discuss what to expect ...

Have you heard? 2024 SEC Exam Priorities are here - COMPLY

2024 SEC Exam Priorities: Key highlights and information · Investment Advisers · Investment Companies · Broker-Dealers · Self-Regulatory Organizations · Clearing ...

2024 SEC Examination Priorities –Takeaways for Registered Fund ...

While this year's Annual Priorities repeat many of the topics identified in last year's examination priorities, the SEC highlighted several new ...

2024 Examination Priorities for Investment Advisers from SEC ...

1. Products & Strategies · 2. Policies and Processes · 3. Conflicts of Interest · 4. Disclosure and Reporting · 5. Information Security.

SEC's Division of Examinations Releases Priorities for Fiscal Year ...

The Division stated it will focus on adviser recommendations related to (1) high-cost products, (2) unconventional instruments, (3) illiquid and ...

Securities Enforcement Roundup – October 2024 - Morgan Lewis

The 2025 Priorities reflect a continued focus on fiduciary standards of conduct for investment advisers, particularly as it relates to dual ...

SEC Announces 2024 Examination Priorities - Shufirm

SEC examinations will continue to review a registrant's actions and processes relating to: (1) oversight of vendors, (2) governance practices, ( ...

SEC Division of Examinations Announces 2023 Priorities

“In executing against the 2023 priorities, the Division will help ensure compliance with the federal securities laws and rules.” "Our priorities ...

SEC Rulemaking Agenda - SIFMA

In practice, this means that during a six-month period ending in January 2024, market participants will be building new compliance regimes for 19 new rules, ...

The SEC exam priorities: insight into 2024? - Saifr

The SEC's examination priorities for 2024 include a focus on the marketing rule, emerging technology, best interest regulations, and crypto assets.

Steps Advisers Can Take to Minimize the Risk That a Routine SEC ...

Steps Advisers Can Take to Minimize the Risk That a Routine SEC Examination Ends With a Referral to Enforcement: Five Key Priorities for OCIE (Part One of Two).

SEC's 2024 Examination Priorities For Broker-Dealers - Mondaq

SEC's 2024 Examination Priorities For Broker-Dealers · Regulation Best Interest and Form CRS · Crypto Assets and Emerging Financial Technology.

SEC Enforcement Newsletter: Q3 2024 | Perspectives

... key SEC enforcement trends and top priorities to remain compliant. ... On June 5, 2024, the U.S. Court of Appeals for the Fifth Circuit ...

Investment Adviser Expectations in 2024 | Davis Wright Tremaine

The 2024 Examination Priorities also noted the SEC staff will continue to observe the proliferation of crypto assets and will focus on RIAs who ...

SEC Exam Priorities for 2023 and 2024 - SmartAsset

In 2024, the SEC will conduct oversight examinations of municipal advisors and security-based swap dealers. These exams will focus on applicable ...

Breaking Down The SEC's 2024 Examination Priorities

The exam staff will remain a key part of the agencywide effort to root out broker-dealers. Page 5. and investment advisers that have not come ...