Prepare for 2023 SEC examination priorities

KPMG highlights the six Securities and Exchange Commission (SEC) areas of focus for asset management firms and private funds to watch out for and considerations for how they can navigate this newly energized regulatory environment. Each of these high-priority and risk topics will impact board members, senior management, and employees in virtually every area of activity.

Learn more about the following topics and what organizations should be doing to address them:

• Amendments to private fund reporting requirements
• Emerging technologies and crypto assets
• Information security and operational resilience
• ESG investing
• Regulation best interest
• Compliance with recently adopted rules under the investment Advisers Act and Investment Company Act