SEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List
Data Matters
APRIL 6, 2022
Examination of municipal advisors will focus on whether they have met their fiduciary duty and conflict disclosure obligations to municipal entity clients, as well as registration, professional qualification, continuing education, and supervision requirements. Transfer Agents. 1 “2022 Examination Priorities,” available here.
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