Meryl E Wiener

May 18, 2022 | New York Law Journal

On March 30, the SEC's Division of Examinations (DOE) announced its examination priorities for 2022. The list of priorities reflects the DOE's assessment of "certain risks, issues, and policy matters that arise out of market and regulatory developments, information gathered from examinations and other sources."

By Meryl E. Wiener

14 minute read

March 29, 2022 | New York Law Journal

A discussion of the Private Fund Adviser Risk Alert, published on Jan. 27, 2022 by the Division of Examinations of the SEC, which supplemented the compliance deficiencies observed in its earlier (2020) examination of registered investment advisers that manage private funds.

By Meryl E. Wiener

7 minute read

April 28, 2021 | New York Law Journal

Examination priorities are released annually. The 2021 priorities highlight nine non-exhaustive areas on which DOE intends to focus during the year.

By Meryl E. Wiener

12 minute read