SEC Announces Inspection Priorities for 2023 -
On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15 percent of the advisers during the last fiscal year and that “increased examinations can only be achieved with significant investments in human capital and technology resources.”
Priorities for the current year include checking compliance with recently adopted rules, including the new marketing rule for advisers, the new derivatives rule for registered funds and Regulation Best Interest for broker-dealers.
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