SEC 2022 Exam Priorities - is your firm ready?

Shannon Bean on 7/28/22 9:00 AM

In March of this year, the SEC released its annual announcement of the year’s exam priorities. This year’s priorities include many of the usual standbys: marketing and disclosures, valuation, custody of assets, conflicts of interest, etc. The specifically highlighted priorities also include some trending areas in financial services, like ESG (Environmental, Social, and Governance), crypto assets, and information security/cybersecurity.

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IMP's Guide: Preparing for the Proposed Names Rule Updates (Part 2)

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IMP's Guide: Preparing for the Proposed Names Rule Updates (Part 1)

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Release Notes for CLEAR Compliance™ (Q2 - 2022)

Release Notes for CLEAR Compliance™ (Q2 - 2022)

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About IMP

IMP is a FinTech & RegTech consulting firm serving buy-side investment managers worldwide.

We work with asset managers on their Order Management (OMS), Compliance, Risk, Middle Office & Back Office Systems. We have helped firms from ~$5 billion AUM to >$2 trillion AUM streamline and enhance their current systems, find new systems and implement them, upgrade one or more areas of the trading workflow, and train their staff. 

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