SEC Division of Examinations Announces 2023 Priorities

On February 7, 2023, the SEC’s Division of Examinations (the “Division”) announced its 2023 examination priorities (“Examination Priorities”). The Division indicated that 2023 examinations will prioritize several significant focus areas that pose unique or emerging risks to investors or the markets, as well as examinations of core and perennial risk areas. Specifically, the Division will focus on: the new Marketing Rule; Registered Investment Advisers (“RIAs”) managing private funds; environment, social, and governance (“ESG”) issues; emerging technologies and crypto assets; information security and operational resiliency; standards of conduct; conflicts of interest; and Form CRS; and new Investment Company Act rules.
Source: SEC Division of Examinations Announces 2023 Priorities