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Division of Exams’ Priorities

This is the SEC's Division of Examinations' 2024 exam priorities, released in October 2023
'Just because a crypto trading platform claims to be a qualified custodian doesn’t mean that it is'
Fintech grinds against fiduciary standards
'Specific risk profiles' get closer looks
This is the DOE's 2023 exam priorities
'We prefer not to hear a "check-the-box" presentation,' Polite says
The DOE states that one topic that could come up on RIA exams is whether “sufficient resources exist to perform compliance duties”
We hope that firms' leadership, including those in compliance, legal, risk, and information security, across the financial services industry will review the priorities and consider ...
15% of the SEC-registered IA population was examined in FY2020
The DOE sheds some light on issues it considers when identifying exam candidates

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