On March 30, 2022, the Securities and Exchange Commission’s Division of Examinations, announced its 2022 examination priorities. In this webinar, Foreside and K&L Gates dove into the 2022 examination priorities, with a particular focus on the impact on compliance programs of investment advisors and investment companies.
- Private Funds
- Environmental, Social, and Governance (“ESG”) Investing
- Standards of Conduct: Regulation Best Interest, Fiduciary Duty, and Form CRS
- Information Security and Operational Resiliency
- Emerging Technologies and Crypto-Assets
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