SEC Division of Examinations — 2022 examination priorities

  1. Maintain well-designed policies and procedures
  2. Disclose ESG investing approaches appropriately and adopt and implement policies to prevent violation of laws relating to ESG-related disclosures
  3. Have a dedicated team to validate ESG-related content
  4. Design strong compliance programmes
  5. Deploy robust social media communication surveillance teams
  6. Invest in effective cybersecurity tools
  7. Follow regulatory guidelines to avoid conflicts of interest
  8. Identify the unique risks posed by new technologies and ensure they are addressed in the compliance programmes

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We write about financial industry trends, the impact of regulatory changes and opinions on industry inflection points. https://www.acuitykp.com/

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Acuity Knowledge Partners

Acuity Knowledge Partners

We write about financial industry trends, the impact of regulatory changes and opinions on industry inflection points. https://www.acuitykp.com/

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