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SEC Division of Examinations Announces 2023 Priorities | Tonkon Torp LLP

On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations announced its fiscal year 2023 examination priorities. This year, the Division continues its focus.

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SEC Examinations Division Publishes 2023 Priorities Letter | Goodwin

The 2023 priorities letter represents only a sliver of the topics firms can expect exam teams to cover this year. In developing the priorities, SEC staff noted their outreach directly.

Fund advisersDivision of enforcementBest interestFiduciary dutyRisk reportOperational resiliencyRegulationss pSystems complianceCrypto assetsPrivate fund advisers

SEC Looks to Finalize Proposed Cyber Rules, Issue New NPRM | Davis Wright Tremaine LLP

The U.S. Securities and Exchange Commission (SEC) appears to have big plans for cybersecurity regulation in 2023.

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SEC s Division of Examinations Releases 2022 Examination Priorities | Kilpatrick Townsend & Stockton LLP

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,.

City ofUnited kingdomFund investor protection febDivision of examinationsDivision of examinations theSignificant regulatory overhaul for private fund advisersBank offered rateSee pressDivision examinationsInvestment company examination programNational securities exchangesExaminations of private fund advisersSettlement examination programInvestment companies including mutual fundsSignificant regulatory overhaulPrivate fund advisers

Working On Team Cyber - Remarks Before The Joint Meeting Of The Financial And Banking Information Infrastructure Committee (FBIIC) And The Financial Services Sector Coordinating Council (FSSCC), SEC Chair Gary Gensler, Washington D C , April 14, 2022

<p><span>Thank you. It’s good to be with the Financial and Banking Information Infrastructure Committee (FBIIC) as well as the Financial Services Sector Coordinating Council (FSSCC). As is customary, I’d like to note that my remarks are my own, and I’m not speaking on behalf of the Commission or SEC staff.</span></p>

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