Present and Former SEC Officials Discuss the Commission’s Latest Examination and Enforcement Tactics and Priorities

Cybersecurity continues to be an SEC examination priority, with three recent cases concerning firms that failed to take reasonable steps to protect client information. We distill insights shared by present and former SEC officials, at the Investment Company Institute’s recent Investment Management Conference, on operations of the Division of Examinations, the potential for more aggressive enforcement activity, the implications of recent enforcement actions involving electronic communications and cybersecurity, and SEC Division of Enforcement’s environmental, social and governance task force. See “Privacy and Security Regulators Discuss New Enforcement Proposals and Compliance Best Practices” (Jun. 15, 2022).

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