2022 SEC Priorities and Focus Areas

The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its FY2022 Examination Priorities on March 30, 2022.

The Priorities are grounded in the four pillars of: promoting compliance, preventing fraud, identifying and monitoring risk, and informing policy. This year’s priorities are focused on private funds, ESG and climate risk, cybersecurity, the new Marketing Rule, digital assets, SPACs and swaps, among other key issues. The 2022 priorities are published in the broader context of several new rule proposals increasing regulation of private funds, cybersecurity programs, ESG and climate risk disclosure, SPACs, crypto and market structure and transparency. We have also seen a continuous flow of Risk Alerts coming from the Exams Division addressing several of these topics.

Join us May 19th at 9:00 AM PT / 12:00 PM ET for a live webcast when we will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.

Discussion Topics

• Priorities for compliance
• The SEC's focus on ESG
• Considerations for performance
• Cybersecurity focus areas, including operational resilience
• Broader regulatory themes for 2022

Speakers

• Carlo di Florio, Global Chief Services Officer, ACA Group
• Dan Mistler, Partner, ACA Group
• Shivani Choudhary, Managing Director, ACA Group
• Christine Tetherly-Lewis, Managing Director ACA Group
• Neha Pasricha, Principal Consultant ACA Group