The sec's Division of Examinations (the “Division” or “EXAMS”) recently published its annual examination priorities for 2023. The Examination Priorities memorandum sets out key areas the staff will focus on during its examinations of registered investment advisers and broker-dealers in the coming year. In some respects, it provides a playbook that firms should study to spot and remediate potential compliance issues. Below please find an overview of the key EXAMS priorities in 2023.
Source: SEC Division of Examinations' 2023 Priorities