The SEC Division of Examinations recently released its 2022 Division of Examinations “Priorities.” The 2022 Priorities provide critical insight into what the Division of Examinations (the “Division”) considers the most significant and highest potential risk areas for investors, and provides guidance for regulated entities on where to focus their compliance efforts. Retail Investors and Working … Continue reading “SEC Examinations
Latest Post
More Posts
FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability
The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests
SEC Charges Texas School District and Former CFO with Fraud Related to Bond
BlockFi to Pay $100 Million Over Crypto Lending Platform
Cryptocurrency Exchange Founders Plead Guilty to Bank Secrecy Act Violations
SEC Proposes New Cybersecurity Risk Management Rules for Registered Investment Advisers and Funds
SEC Disgorgement Claim Challenged After Supreme Court’s Decision in Liu
Ubiquitous Use of WhatsApp and Other Unrecorded Internal Communications Result in Substantial Penalties in Recent SEC, CFTC Actions
Reg BI: What’s Going On and What May Happen Next?
Subscribe: Subscribe via RSS
Blogs
Firm/Org