The SEC Division of Examinations released its 2023 examination priorities. Alongside continuing SEC sweep examinations into electronic communication and record keeping, firms should be on alert for compliance with communication policies and demonstrate robust recordkeeping.
On February 7, 2023, the SEC’s Division of Examinations (the “Division”) issued its report on 2023 Examination Priorities. The following is a summary of key issues highlighted in the.
Securities and Exchange Commission SEC Division of Examinations announced 2023 examination priorities. The timing of announcement over month earlier than Division’s examination priority announcements in prior two years suggests return to normal following pandemic examinations.