On October 16, 2023, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission announced its examination priorities for 2024. While the Division typically announces its examination priorities near the start of the calendar year, this is the first time that the Division has published its examination priorities this early, to align with the start of the fiscal year.
This Legal Update provides a brief overview of the Division’s examination priorities of certain practices, products and services applicable to investment advisers, investment companies, broker-dealers, and multiple or other market participants.
Read the Legal Update.