2023 01.04

On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations (“DOE”) announced its examination priorities for 2023 (“2023 Examination Priorities”) (available here). Examination priorities, which are released annually, provide investors and registrants with transparency into those areas that DOE believes bring heightened risks to investors, registrants and to the integrity of the U.S. capital markets. The “four pillars” of DOE’s mission remains the same, to (1) promote compliance, (2) prevent fraud, (3) monitor risk and (4) inform policy.

For more: https://www.wbny.com/SEC-Announces-2023-Examination-Priorities