The Securities and Alternate Fee has launched its 2024 examination priorities to tell traders and registrants of the important thing dangers, examination subjects and priorities that the division plans to concentrate on within the upcoming 12 months.
Subsequent 12 months’s exams, the company mentioned Monday, will prioritize areas that pose rising dangers to traders or the markets along with core and perennial danger areas.
“The Division of Examinations performs a essential function in defending traders and facilitating capital formation,” mentioned SEC Chairman Gary Gensler, in a press release. “In inspecting for compliance with our time-tested guidelines, the Division helps registrants perceive the foundations in addition to ensures that markets work for traders and issuers alike. The Division’s efforts, as specified by the 2024 priorities, improve belief in our ever-evolving markets.”
Richard Greatest, director of the Division of Examinations, mentioned the company hopes “that aligning the publication of our examination priorities with the start of the SEC’s fiscal 12 months will present earlier perception to registrants, traders, and {the marketplace} of changes in our areas of focus 12 months to 12 months.”
Listed below are the SEC’s 2024 examination priorities: