Insights & Regulatory Updates
SEC Division of Examinations 2025 Priorities
In a November 4, 2024, risk alert, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (SEC) unveiled its strategic, risk-based approach to selecting registered investment companies for examination. The Division also shed light on its methodology for scoping exams and shared notable examples of common deficiencies encountered during recent reviews.
Unpacking the SEC’s 2025 Examination Priorities: What’s on the Horizon for Investment Advisers, Broker-Dealers, and the Financial Sector
With the dawn of a new fiscal year, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations has unveiled its 2025 examination priorities. This annual roadmap serves as both a warning and a guide for firms navigating the ever-evolving regulatory landscape. The 2025 priorities not only highlight long-standing risk areas like fiduciary duty and cybersecurity, but also shine a spotlight on cutting-edge issues such as artificial intelligence and the growing complexities surrounding crypto assets.