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SEC Announces 2024 Examination Priorities - Compliance

On October 16, the Division of Examinations (the Division or Exams) at the U.S. Securities and Exchange Commission (SEC) announced its 2024 examination priorities. ....

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Financial Privacy in a Free Society

Privacy, both financial and personal, is a key component of life in a free society. Unlike in totalitarian or authoritarian regimes, individuals in free societies have a private sphere free of government involvement, surveillance, and control. The United States Constitution’s Bill of Rights, particularly the Fourth, Fifth, and Ninth Amendments, together with structural federalism and separation of powers protections, is designed to further that end by protecting individual rights. The current financial regulatory framework is inconsistent with these principles. ....

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US Securities And Exchange Commission Division Of Examinations 2022 Exam Priorities - Corporate/Commercial Law

On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission ("SEC") announced its examination priorities for 2022. ....

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US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities | Mayer Brown Free Writings + Perspectives

On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its examination priorities for 2022. This. ....

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SEC.gov | SEC Division of Examinations Announces 2021 Examination Priorities

Enhanced Focus on Climate-Related Risks
FOR IMMEDIATE RELEASE
Washington D.C., March 3, 2021
The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. 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.
“This year, the Division is enhancing its focus on climate and ESG-related risks by examining proxy voting policies and practices to ensure voting aligns with investors’ best interests and expectations, as well as firms’ business continuity plans in ....

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