The SEC Division of Examinations Publishes 2022 Examination Priorities and Previews Key Focus Areas for Registered Investment Advisers and Broker - Dealers | K & L Gates LLP

The US Securities and Exchange Commission (SEC) has published its priorities for the next financial year. Here’s what it says is the focus of its examinations - and what does it mean for those looking to secure their confidence.

Source: jdsupra.com
Published on 2022-04-12