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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 Division of Examinations Announces 2023 Priorities

The priorities reflect the changing landscape and associated risks in the securities market, said SEC Chair. ....

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SEC Focus on Compliance with Custody Rule for Digital Assets

Reuters reported SEC probes into registered investment advisers and compliance with custody rule for digital assets. Investment advisers respond to SEC inquiry and review processes and disclosures such as Due diligence processes for selecting custodians; Disclosure of counterparty. ....

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SEC Probes into Advisers' Compliance with the Custody Rule for Digital Assets | Winstead PC

On January 26, Reuters reported SEC probes into registered investment advisers and their compliance with the custody rule for digital assets. Investment advisers should be ready to. ....

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SEC Division Of Examinations Announces 2023 Priorities

<p><span>The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.</span></p> ....

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