Division of Examinations Securities and Exchange Commission SEC announced examination priorities for 2023 fiscal year. The Report identifies areas of focus for upcoming year highlights new rules applicable to registered investment advisers RIAs and investment companies.
The SEC recently published its 2022 Examination Priorities Letter on the heels of FINRA issuing its 2022 Examination and Risk Monitoring Program Report. One of many areas of common.
Each year, the SEC’s Division of Examinations (the “Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing,.