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ARTICLE · 14 FEBRUARY 2023

SEC Publishes 2023 Examination Priorities

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On February 7, 2023, the Securities and Exchange Commission's (SEC) Division of Examinations (EXAMS) announced its 2023 examination priorities. The SEC reaffirmed that it will continue...

CanadaFinance and Banking
Batya Nadler
Batya Nadler
Venera Ziegler
Venera Ziegler
Andrew Beck
Andrew Beck
Shannon Gotfrit
Shannon Gotfrit
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On February 7, 2023, the Securities and Exchange Commission's (SEC) Division of Examinations (EXAMS) announced its 2023 examination priorities. The SEC reaffirmed that it will continue to emphasize compliance with new SEC rules applicable to investment advisers, as well as continue its focus on emerging issues and rules aimed at protecting retail investors.

What you need to know

  • Examinations of registered investment advisers (RIAs) will focus on conflicts of interest, fee allocation and compliance with the Marketing Rule and the Custody Rule.
  • The SEC continues to focus on compliance with standard of care and ESG commitments.
  • RIAs that manage funds that invest in crypto-assets and emerging technologies will be a primary focus for the SEC's Division of Examinations.

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