All Division of Examinations articles
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ArticleSEC names Best permanent exams division director
The Securities and Exchange Commission named Richard Best permanent director of the agency’s Division of Examinations, removing “acting” from the job title he has held since March.
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SEC risk alert flags deficiencies in handling nonpublic information
A risk alert issued by the Division of Examinations at the Securities and Exchange Commission highlighted “notable deficiencies” in the handling of material nonpublic information by investment advisers, investors, and other market participants.
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SEC 2022 exam priorities stress compliance ‘must be empowered’
The Securities and Exchange Commission released its 2022 examination priorities, providing investment firms, broker-dealers, and other registrants a breakdown of what issues the Division of Examinations will focus on this year.
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SEC names new acting head of Division of Examinations
Richard Best will become acting director of the Division of Examinations at the Securities and Exchange Commission, following the announced departure of Daniel Kahl.
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SEC examinations head Peter Driscoll to depart
The Securities and Exchange Commission announced Peter Driscoll, the director of the Division of Examinations (formerly OCIE), will leave the agency in August.
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Compliance involvement crucial to consistent ESG disclosures, SEC says
SEC examiners are focusing on whether registered firms’ ESG disclosures align with their investment practices.
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Biden influence apparent in SEC 2021 examination priorities
The long-awaited 2021 examination priorities of the Securities and Exchange Commission were released Wednesday, with climate- and ESG-related risks unsurprisingly among areas that will receive enhanced focus.
