On March 30, 2022, the Division of Examinations of the U.S. Securities and Exchange Commission (the “SEC”) announced its examination priorities for fiscal year 2022. The annual publication of the Division’s examination priorities is intended to align with the Division’s four pillars of promoting and improving compliance, preventing fraud, monitoring risk, and informing policy, and provide investors and SEC-registered investment advisers transparency into those areas it believes bring heightened risks to investors, registrants, and the markets. For a full briefing on this year’s report, please read the full article by clicking below.
