SEC Announces 2022 Examination Priorities: Private Funds, ESG, Retail, Cyber, Digital Assets Top the List
Data Matters
APRIL 6, 2022
The Division will prioritize certain types of registered funds including exchange-traded funds, money market funds, and business development companies. Both categories will be examined for compliance with the SEC Standards for Covered Clearing Agencies. Investment Advisers and Investment Companies . Transfer Agents.
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