As the Division of Examinations of the Securities and Exchange Commission (SEC) unveiled its 2025 examination priorities, a broad spectrum of issues for registered investment advisers, investment companies, and broker-dealers comes into focus. Published on October 21, 2024, this document underscores significant themes expected to resonate throughout the upcoming year.


The priorities, while reflecting potential shifts due to the changing presidential administration, maintain steadfast core areas, suggesting continuity in enforcement actions. A comprehensive review highlights the Division’s focus on private fund advisers, cybersecurity, and the utilization of artificial intelligence, emphasizing long-standing commitments alongside new regulatory amendments.


Investment Advisers

For investment advisers, the SEC will enhance oversight on those who have never undergone an examination or have been recently registered. Key review components will include fiduciary standards, compliance programs, and private fund advisers, particularly in volatile markets like commercial real estate and crypto assets.


Broker-Dealers

Broker-dealers will be scrutinized regarding Regulation Best Interest (Reg BI) and Form CRS obligations. The focus will be on assessing the alignment of broker-dealer practices with customer interests, especially concerning complex and high-risk products.


Risk Areas and Technology

Cybersecurity remains a cornerstone in the SEC’s examination strategy, ensuring entities have robust governance and protection measures. Similarly, the rise of artificial intelligence and its integration into financial services draws sharp scrutiny to ensure compliance and mitigate potential risks.


In conclusion, while the 2025 examination priorities from the SEC provide a roadmap for regulatory focus, they also serve as a vital tool for entities to self-evaluate and reinforce their compliance frameworks against potential risks, safeguarding investors and market integrity.


For more information, view the full article on Stinson LLP’s website.


Authored by Eric Mikkelson & Carissa Occhipinto, Stinson LLP

More Articles

Getting licensed or staying ahead in your career can be a journey—but it doesn’t have to be overwhelming. Grab your favorite coffee or tea, take a moment to relax, and browse through our articles. Whether you’re just starting out or renewing your expertise, we’ve got tips, insights, and advice to keep you moving forward. Here’s to your success—one sip and one step at a time!

Bridging the Mental Health Care Gap in Rural America with Telehealth

Across the vast landscapes of rural America, a silent crisis brews—one that affects the mental well-being of millions. The shortage of mental health care providers, coupled with geographic isolation, has created a significant gap in mental health services. However, a glimmer of hope emerges through telehealth technology, promising to bridge this divide.

By |November 8, 2024|Categories: Article, Mental Health, Rural Health|Tags: , |0 Comments

Revolutionizing Healthcare: The Role of AI at Dartmouth’s CPHAI

Artificial Intelligence (AI) is on the brink of revolutionizing the healthcare industry, promising to enhance patient care by making it more predictive, preventive, and personalized. Spearheading this transformation is Saeed Hassanpour, PhD, director of the Dartmouth Center for Precision Health and Artificial Intelligence (CPHAI). According to Hassanpour, AI's integration into healthcare will increase efficiency, accessibility, and diagnostic accuracy, fundamentally reshaping the landscape.

Real Estate Market: A Decade of Transformation Awaits

The housing market has been a rollercoaster of skyrocketing prices in recent years, leaving many potential homebuyers feeling overwhelmed. This surge in prices stems from the pandemic-driven migration to suburban areas and historically low interest rates.

AI in Healthcare: Revolutionizing Patient Care and Hospital Efficiency

AI is reshaping patient experience by making healthcare more accessible, efficient, and personalized. Through AI-assisted scheduling, virtual health assistants, and remote monitoring, patients receive care that is tailored to their specific needs, significantly reducing wait times and enhancing overall satisfaction.

By |November 8, 2024|Categories: Article, Healthcare, Technology|Tags: , |0 Comments

Healthcare AI: The Dawn of a New Era

The healthcare industry stands on the precipice of a transformative era, driven by the integration of artificial intelligence (AI) into its core operations.

Visual Technologies: Revolutionizing Healthcare

The integration of visual technologies into healthcare heralds a new era of personalized medicine. These innovations offer unprecedented opportunities for investment and improvement in global health outcomes.

By |November 7, 2024|Categories: Article, Healthcare, Visual Technologies|Tags: , |0 Comments