The Securities and Exchange Commission’s Division of Examinations noted that in fiscal year 2022, the Division examined approximately 15 percent of all registered investment advisers. The Division’s mission is to promote compliance, prevent fraud, monitor risk and inform policy.
On Jan. 30, 2023, the Securities and Exchange Commission’s Division of Examinations (Division) released a Risk Alert, “Observations from Broker-Dealer Examinations Related to Regulation.