US Newsletter | April 2022

US Newsletter

NEWSLETTER: A highlight this month was welcoming so many people to our webinar on the SEC’s Examination Priorities for the year. The long-awaited priorities letter eventually arrived at the end of March.

The main emerging themes were operational resiliency, standards of conduct when it comes to retail investors, ESG and scrutiny around emerging technologies. None of these were a great surprise, but it was interesting to reflect on the degree to which past published themes resulted in an uptick in SEC activity.

We also took the opportunity to do some future gazing. And with Valerie only recently having left the SEC we certainly have the inside track! The new SEC advertising rule looks set to be an area of focus so we are planning to run a webinar on this in the coming months.

In the meantime, if you missed it, you can view a recording of the session here.

All the best,

Joao Chagas
Bovill US

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