The SEC’s Division of Examinations prioritizes the examination of certain practices, products, and services that it believes present potentially heightened risks to investors. Recently, the Division released its 2022 Examination Priorities Report which identifies certain areas of significant focus that the Division has identified as posing unique or emerging risks to the functionality and integrity of the capital markets. The list of examination priorities for 2022 is comprised of the following:
- Private Funds
- ESG Investing
- Standards of Conduct: Regulation Best Interest, Fiduciary Duty and Form CRS
- Information Security and Operational Resiliency
- Emerging Technologies and Crypto-Assets
The Division was careful to note that, despite the fact that it will allocate significant resources to the list of priorities above, it will continue to conduct examinations into new or emerging risks, products and services, market events, and investor concerns.
