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SEC Division of Examinations 2023 Examination Priorities

SEC’s Division of Examinations last week announced its 2023 examination priorities. The division’s annual announcement of priorities provides valuable insight into categories of registrants most likely to be subject of SEC examination and issues most likely to be focus of examinations. ....

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May 2022 Katten Financial Markets and Funds Developments

The Securities and Exchange Commission SEC announced public comment period extension on proposed rulemaking to standardize climate-related investor disclosures, enhance private fund investor protection, include Treasury market platforms in Regulation ATS. ....

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SEC Finds Deficiencies in Investment Advisor MNPI Compliance

In a Risk Alert the staff of the Division of Examinations of the Securities and Exchange Commission SEC described notable deficiencies relating to investment advisers’ use of material non-public information MNPI stemming from Section 204A of Investment Advisers Act of 1940. ....

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SEC Considers New Standards for Potential Conflicts of Interest

The SEC proposed Advisers Act rules mark strategy shift to reduce private fund manager, investor conflicts of interest. Conflicts formerly addressed by disclosure, informed consent, now concludes some practices inherently conflicted, require specific actions or prohibition. ....

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SEC's Division of Examinations Issues Latest Priorities

The SEC’s Division of Examinations formerly the Office of Compliance Inspections and Examinations OCIE issued its examination priorities for 2022. The Division also identified priorities that will be of particular interest to managers of both private and registered funds. ....

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