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Event Date Wed May 18 EDT (5 months ago)
Location Online
Region Americas

The Securities and Exchange Commission's Division of Examinations announced its 2022 examination priorities. In this webinar, Foreside and K&L Gates will dive into the 2022 examination priorities, with particular focus on the impact on compliance programs of investment advisors and investment companies. With this focus in mind, we will address the following priorities of the Division Examinations staff.

Focus Areas:

• Private Funds
• Environmental, Social, and Governance (ESG) Investing
• Standards of Conduct: Regulation Best Interest, Fiduciary Duty, and Form CRS
• Information Security and Operational Resiliency
• Emerging Technologies and Crypto-Assets


2022 Speakers

Keri E. Riemer
Of Counsel, K&L Gates

Ann Keitner
Senior Director, Foreside

Thomas Harter
Senior Director, Foreside

Sponsors & Partners

2022 Sponsors

• ESG - Sustainable Investing
• Financial Professional Standards
• Financial Services
• Hedge Funds
• Private Equity Funds
• U.S. Registered Investment Companies