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United States SEC 2024 Priorities: Examination of Investment Advisors & Advisors to Private Funds, Investment Companies, Broker-Dealers & Trading Practices, Self-Regulatory Organisations, Clearing Agencies, Market Participants Including Municipal Advisors, Security-Based Swap Dealers & Transfer Agents, Risks Including Information Security, Operational Resiliency, Crypto Assets, Emerging Fintech, Regulation Systems & Anti-Money Laundering
21st October 2023 | Hong Kong
The United States Securities & Exchange Commission (SEC) has released the 2024 examination priorities – 1) Examination of Investment Advisors & Advisors to Private Funds, 2) Investment Companies, 3) Broker-Dealers & Trading Practices, 4) Self-Regulatory Organisations, 5) Clearing Agencies, 6) Market Participants Including Municipal Advisors, Security-Based Swap Dealers & Transfer Agents, 7) Risks Including Information Security, Operational Resiliency, Crypto Assets, Emerging Fintech, Regulation Systems & Anti-Money Laundering. SEC Chair Gary Gensler: “The Division of Examinations plays a critical role in protecting investors and facilitating capital formation. In examining for compliance with our time-tested rules, the Division helps registrants understand the rules as well as ensures that markets work for investors and issuers alike. The Division’s efforts, as laid out in the 2024 priorities, enhance trust in our ever-evolving markets.” Division of Examinations’ Director Richard R. Best: “Continuing to make our examination priorities public increases transparency into the examination program and encourages firms to focus their compliance and surveillance efforts on areas of potentially heightened risk to retail investors. We hope that aligning the publication of our examination priorities with the beginning of the SEC’s fiscal year will provide earlier insight to registrants, investors, and the marketplace of adjustments in our areas of focus year to year.” See below for full statement:
“ United States SEC 2024 Priorities: Examination of Investment Advisors & Advisors to Private Funds, Investment Companies, Broker-Dealers & Trading Practices, Self-Regulatory Organisations, Clearing Agencies, Market Participants Including Municipal Advisors, Security-Based Swap Dealers & Transfer Agents, Risks Including Information Security, Operational Resiliency, Crypto Assets, Emerging Fintech, Regulation Systems & Anti-Money Laundering “
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United States SEC 2024 Priorities
16th October 2023 – The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the upcoming year. This year’s examinations will prioritize areas that pose emerging risks to investors or the markets in addition to core and perennial risk areas.
The Division conducts examinations and inspections of SEC-registered investment advisers, investment companies, broker-dealers, transfer agents, municipal advisors, securities-based swap dealers, clearing agencies, and other self-regulatory organizations. The Division prioritizes examinations of certain practices, products, and services that it believes present potentially heightened risks to investors or the integrity of the U.S. capital markets. It uses a risk-based approach to fulfill its mission to improve compliance, prevent fraud, monitor risk, and inform policy.
The published priorities are not exhaustive of the focus areas of the Division in its examinations, risk alerts, and outreach. The scope of any examination includes analysis of an entity’s history, operations, services, products offered, and other risk factors.
The collaborative effort to formulate the annual examination priorities starts with feedback from examination staff who are uniquely positioned to identify the practices, products, services, and other factors that may pose risk to investors or the financial markets. The Division also gathers input and advice from the Chair and other Commissioners, staff from other SEC divisions and offices, other federal financial regulators, investors, and industry groups.
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