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ARTICLE · 26 OCTOBER 2023

2024 SEC Division Of Examinations Priorities Summary

Venable LLP
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The SEC's Division of Examinations got a head start this fiscal year, announcing its 2024 Examination Priorities (2024 Priorities)...

United StatesStrategy
Adrienne Dawn Gurley
Adrienne Dawn Gurley
Daniel J. Hayes
Daniel J. Hayes
George Kostolampros
George Kostolampros
Eric Smith
Eric Smith
Xochitl S. Strohbehn
Xochitl S. Strohbehn

The SEC's Division of Examinations got a head start this fiscal year, announcing its 2024 Examination Priorities (2024 Priorities) at the beginning of the fiscal year for the first time. This novel approach likely signifies the Division's intent to be very active over the next 12 months and a desire to give registrants and other market participants more time to shore up areas of concern.

Not surprisingly, the 2024 Priorities emphasize that conflicts of interest will remain a priority for the Division's examiners. For investment advisers, that means examiners will scrutinize not only how advisers identify and disclose conflicts to clients, but also their processes for mitigating or eliminating those conflicts where appropriate. Key areas of focus will include:

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