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Compliance Connections Webinar: 2022 SEC Exam Priorities, Hosted by Foreside

3rd Party Hosted Event
Date: 18 May 2022
Time: 1:00 PM ET
Location: via Webinar

On 30 March 2022, the Securities and Exchange Commission's Division of Examinations announced its 2022 examination priorities. In this webinar, Foreside and K&L Gates will dive into the 2022 examination priorities, with particular focus on the impact on compliance programs of investment advisors and investment companies. With this focus in mind, we will address the following priorities of the Division Examinations staff.

Focus Areas:

  • 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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