Parik Dasgupta

Hogan Lovells

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SEC releases 2023 examination priorities for investment advisers

On February 7, the Division of Examinations within the U.S. Securities and Exchange Commission (the SEC) released its annual list of examination priorities for investment advisers regulated by the SEC under the U.S....more

2/16/2023  /  Broker-Dealer , Compliance , Cybersecurity , Environmental Social & Governance (ESG) , Investment Adviser , Private Funds , Risk Assessment , SEC Examination Priorities , Securities and Exchange Commission (SEC)

SEC releases 2022 examination priorities with focus on private funds

On March 29, the Division of Examinations1 (the Division) within the U.S. Securities and Exchange Commission (the SEC) released its annual list of examination priorities for investment advisers regulated by the SEC under the...more

4/5/2022  /  Investment Adviser , Investment Advisers Act of 1940 , Investment Company Act of 1940 , New Rules , Private Funds , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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