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SEC Division Of Examinations' 2023 Priorities - Securities

On February 7, 2023, the U.S. Securities and Exchange Commission's ("SEC") Division of Examination (the "Division") announced its annual list of examination priorities for 2023 (the "Priorities"). ....

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SEC Exams To Include ESG Focus In 2023 - Securities

On February 7, the Division of Examinations of the U.S. Securities and Exchange Commission (SEC) announced the publication of its 2023 examination priorities, which include a focus on ESG-related advisory services. ....

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SEC Exams to Include ESG Focus in 2023

On February 7, the Division of Examinations of the U.S. Securities and Exchange Commission (SEC) announced the publication of its 2023 examination… ....

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SEC Proposes Radical Transformation Of Custody Rule Into New Safeguarding Rule - Financial Services

On February 15, 2023, the Securities and Exchange Commission (the "SEC") proposed a significant transformation of Rule 206(4)-2 under the Investment Advisers Act of 1940 into a new Rule 223-1 under the Advisers Act applicable to SEC-registered investment advisers. ....

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SEC Proposes Radical Transformation of Custody Rule Into New Safeguarding Rule | Goodwin

On February 15, 2023, the Securities and Exchange Commission (the “SEC”) proposed a significant transformation of Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of. ....

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