On November 22, 2024, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2024. For key takeaways for fund managers, read our post on Proskauer’s The Capital Commitment blog.
REGISTERED INVESTMENT ADVISERS
SEC Division of Examinations Announces 2022 Examination Priorities
By Julia Alonzo & Amy Gordon on
The Securities and Exchange Commission’s Division of Examinations recently announced its examination priorities for fiscal year 2022: Private Funds; Environmental, Social, and Governance (“ESG”) Investing; Standards of Conduct; Information Security and Operational Resiliency; and Emerging Technologies and Crypto-Assets. The Division seeks to provide investors and registrants with transparency into these…