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Foreside Connections Webinar: SEC Exam Priorities 2022


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.

Focus Areas:

  • 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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