On March 29, 2022, the Securities and Exchange Commission (“SEC”) Division of Examinations (the Division) released its annual top exam priorities for the 2022 calendar year. The Division of Examinations is the SEC division which conducts examinations of registered investment adviser (“RIA”) firms and this priority list can help investment advisers be better properly prepared for a regulatory examination. Consistent with recent rulemakings and risk alerts, the 2022 exam priorities will focus on five significant focus areas.
To provide further guidance on the SEC’s 2022 exam priorities, we created a detailed infographic that outlines the significant focus areas. The top focus areas include:
- 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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