On October 21, 2024, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its annual Examination Priorities for fiscal year 2025 (the Report). The Report identifies certain...more
11/14/2024
/ Advisors Act ,
Bank Secrecy Act ,
Broker-Dealer ,
BSA/AML ,
Code of Conduct ,
Compliance ,
Enforcement Actions ,
Fiduciary Duty ,
Investment Adviser ,
Private Funds ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)