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The SEC issued its warning: Five areas receive SEC attention

Low angle view of the US Securities and Exchange Commission (SEC) headquarters in Washington, DC.
Photo: Getty Images

Janaya Moscony | SEC3

2 min read
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While not new rules, these observations remind us that SEC examinations prioritize whether actual practices match a firm’s disclosures, policies, and fiduciary duties, rather than its original intentions.

The SEC has once again given investment advisers a valuable glimpse into what its examiners are seeing during examinations. In its Risk Alert addressing advisers’ economic conflicts of interest last month, the Division of Examinations identified several recurring deficiencies that continue to appear across firms of all sizes.

While the

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