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.
On February 7, 2023 the SEC's Division of Examinations (the "Division") released its 2023 Examination Priorities, announcing key areas of focus for the upcoming year.
INTRODUCTION - On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the.
SEC announced its 2023 examination priorities. The announcement focuses on 6 categories including new investment adviser and investment company rules, RIAs to private funds, retail investors and working families, ESG, Information Security, emerging technology and crypto assets.