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.
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.
Anna L’Hommedieu is an associate in the Investigations, Enforcement, and White Collar practice group. Her practice focuses on government investigations, regulatory enforcement actions.