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ARTICLE · 07 APRIL 2022

Today's SEC Examination Priorities, Tomorrow's SEC Enforcement Actions

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Rounding out a series of quarter-end announcements from the US Securities and Exchange Commission (SEC), the Division of Examinations (Exams) announced its 2022 examination priorities on March 30, 2022.

United StatesFinance and Banking
Christian D. H. Schultz
Christian D. H. Schultz
Jane Norberg
Jane Norberg
Daniel Hawke
Daniel Hawke
Veronica Callahan
Veronica Callahan
Stephen Culhane
Stephen Culhane
Ellen Fleishhacker
Ellen Fleishhacker
David Freeman, Jr.
David Freeman, Jr.
Robert Holton
Robert Holton
Joshua Martin
Joshua Martin
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Rounding out a series of quarter-end announcements from the US Securities and Exchange Commission (SEC), the Division of Examinations (Exams) announced its 2022 examination priorities on March 30, 2022. These priorities reflect SEC Chair Gary Gensler's stated view that the examinations program is crucial to the SEC's work to protect investors and instill trust in markets. Exams will focus on, among other things, (i) private funds, (ii) broker-dealers, (iii) Environmental, Social, and Governance (ESG) or impact investing, (iv) financial technology (FinTech) and crypto-assets, and (v) information security (InfoSec) and operational resiliency. In addition, a week before the 2022 examination priorities were announced, Richard Best was appointed as Exams' new Acting Director. Mr. Best most recently served as the SEC's Regional Director in New York after serving in similar roles in Salt Lake City and Atlanta, where he led both the examination and enforcement efforts of those

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