June 28, 2022

Volume XII, Number 179

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June 28, 2022

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June 27, 2022

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SEC Identifies 2022 Examination Priorities

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.

Copyright ©2022 Nelson Mullins Riley & Scarborough LLPNational Law Review, Volume XII, Number 98
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About this Author

Erin Reeves McGinnis Securities Lawyer Nelson Mullins
Partner

Erin focuses her practice on securities transactions, including public and private offerings of securities, 1933 Act filings, 1934 Act reporting, corporate governance, SEC compliance, FINRA compliance, and general corporate matters, with a specific emphasis on real estate investment trusts (REITs). She also has significant experience with “Blue Sky” regulatory matters, as well as working with boards of directors and committees thereof, including agenda-setting. Additionally, she counsels clients seeking to create and raise capital through Qualified Opportunity Funds per the recently...

404-322-6208
Wes Scott Corporate Attorney Nelson Mullins Nashville Law Firm
Partner

Wes serves as primary outside counsel to public and private companies with respect to their securities offerings, SEC and FDIC reporting requirements, stock exchange listing compliance, M&A, and corporate governance and general corporate matters.  In particular, Wes focuses his practice on the financial institutions industry, including banks, bank holding companies, investment banks and other depositary institutions, the healthcare industry, including medical device, life sciences, clinical trial and healthcare IT companies, and the REIT industry, including public and private REITs,...

615-664-5304
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