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ARTICLE · 06 MARCH 2013

SEC Releases 2013 Examination Priorities

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On February 21, 2013, the US Securities and Exchange Commission released its examination priorities for 2013.

United StatesCorporate/Commercial Law
Meredith Haviland
Meredith Haviland
Robert Sawyer
Robert Sawyer
Diana Lo
Diana Lo
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On February 21, 2013, the US Securities and Exchange Commission (the "SEC") released its examination priorities for 2013. The priorities were published by National Examination Program ("NEP"), a program administered through the SEC's Office of Compliance Inspections and Examinations, including market-wide areas of focus as well as issues specific to investment advisers and investment companies, broker-dealers, clearing and transfer agents, and market oversight. Areas identified by NEP as priorities are summarized below.

Ongoing Risks

NEP identified the following as areas of heightened risk:

  1. safety of client assets,
  2. conflicts of interest related to compensation arrangements,

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