On Feb. 7, 2023, the Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2023 examination priorities (Exam Priorities). The announcement focuses on six different categories:
- New Investment Adviser and Investment Company Rules
- Registered Investment Advisers (RIAs) to Private Funds
- Retail Investors and Working Families
- Environmental, Social, and Governance (ESG)
- Information Security and Operational Resiliency
- Emerging Technologies and Crypto-Assets
This GT Alert discusses the Exam Priorities related to each of these categories.