Listen on demand

By registering for this webcast, you are agreeing to our processing of your personal data under our Privacy Policy.

Webcast

2022 SEC Priorities and Focus Areas

Find out how the 2022 U.S. Securities and Exchange Commission’s (SEC) Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.

Any time On demand Your desk!

The SEC’s 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.

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

Carlo di Florio

Global Chief Services Officer, ACA Group

Dan Mistler

Dan Mistler

Partner, ACA Group

Shivani Choudhary

Shivani Choudhary

Managing Director, ACA Group

Christine Tetherly Lewis

Christine Tetherly-Lewis

Managing Director, ACA Group

Neha Parischa

Neha Pasricha

Principal Consultant, ACA Group

Download The free eBook