The SEC’s 2022 examination priorities highlight areas of heightened attention and risks, such as crypto assets and cyber security, as well as core areas of SEC supervision, including investor protection. Notably, many areas of “significant focus” align with recently issued regulatory proposals in the areas of private funds, ESG, standards of conduct, and cybersecurity. SEC registered market participants should consider these examination priorities in such areas as risk coverage, controls, and testing.
Examinations: SEC 2022 Priorities
SEC annual list of examination priorities in areas of significant focus
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Examinations: SEC 2022 Priorities
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Michael Sullivan
Principal, Advisory, FS Regulatory & Compliance Risk, KPMG US
Laurence Godin
Principal, Advisory, FS Regulatory & Compliance Risk, KPMG US
Michael Sullivan
Principal, Advisory, FS Regulatory & Compliance Risk, KPMG US
Laurence Godin
Principal, Advisory, FS Regulatory & Compliance Risk, KPMG US