Division of Examinations of the U.S. Securities and Exchange Commission SEC issues examination priorities for the 2022 fiscal year, including focusing on private funds, and environmental, social, and governance ESG investing
On 30 March 2022, the Division of Examinations (the Division) of the U.S. Securities and Exchange Commission (SEC) released its examination priorities for the 2022 fiscal year. The.
Every year, investment advisors registered with the SEC face the thankless task of reviewing their policies and procedures to determine their adequacy and effectiveness as required by.
Our previous article considered the technology behind cryptocurrency. This article will focus on the legal framework governing the industry. The cryptocurrency market is subject to a.
The U.S. Securities and Exchange Commission (SEC) Division of
Examinations (Division
1) recently released a Risk
Alert
2 highlighting its continued focus on digital
assets
3 that are securities (Digital Asset Securities).
The Division emphasized that the offer, sale, and trading of
Digital Asset Securities present unique risks to investors and
encouraged firms to consider the distinct features of
distributed-ledger technology when designing their
regulatory-compliance programs. The Risk Alert provides
observations made by Division staff during recent examinations of
industry participants that may assist firms in developing their
compliance practices and policies. The Risk Alert also provides
transparency about areas of focus for the Division s future