Publications
SEC Examination Trends Report
October 31, 2022
An examination by the Securities and Exchange Commission's (SEC’s) Division of Examinations (EXAMS) can be intimidating for even the most seasoned registered investment adviser. Anticipating areas of focus, together with conscientious preparation, can help. EXAMS’ 2022 Examination Priorities and recent risk alerts address private funds, ESG, retail, cyber and digital assets, among other topics. However, in addition to these priorities, inevitably an SEC exam will focus on risks, conflicts and compliance challenges specific to that adviser.
This report, co-authored by Sidley and ACA Compliance Group, summarizes observations concerning EXAMS’ public priorities and our insights and practical considerations from recent exams.
Contacts
Capabilities
Suggested News & Insights
Private Funds & Asset Management: Developments & OpportunitiesThursday, March 12, 2026Northern California Compliance Officer RoundtableWednesday, March 4, 2026California's Fair Investment Practices by Venture Capital Companies Law Applicability Decision Tree and Compliance ChecklistFebruary 13, 2026Simon Saddleton to Speak on Private Credit at Maples Investment Funds ForumFebruary 12, 2026UK/EU Investment Management Update (February 2026)February 12, 2026Sidley Commended in Chambers Global 2026February 12, 2026
- Stay Up To DateSubscribe to Sidley Publications
- Follow Sidley on Social MediaSocial Media Directory