{ "@context": "https://schema.org", "@type": "NewsArticle", "headline": "Four New SEC Examination Priorities to Spice Up 2023!", "image":"https://www.intelligize.com/wp-content/uploads/2023/02/chili-market-BW_1200.png", "datePublished": "2023-02-28", "description":"The SEC Division of Examinations (EXAMS)'s recent report touts new and significant focus areas for the coming year. Learn about the 4 points of emphasis.", "keywords":"broker-dealer, COMPLIANCE, derivative, ESG, Investment, sec, EXAMS, SEC examination priorities", "potentialAction":"Request a Demo", "publisher": [{ "@type": "Organization", "name": "Intelligize", "url":"https://www.intelligize.com/" }], "author": [{ "@type": "Person", "name": "Miriam Robin", "jobTitle":"Curation Editor, Legal News", "worksFor":"LexisNexis", "sameAs": "https://www.linkedin.com/in/miriam-r-2665273/" }] }
Photograph of skyscrapers with glass windows from the ground facing up to a blue sky

Month: February 2023

An outdoor produce market with hanging bunches of chilies

Four New SEC Examination Priorities to Spice Up 2023!

An outdoor produce market with hanging bunches of chilies

If you’re familiar with annual previews from government agencies, you know they’re about as exciting as an instruction manual. They generally follow a boilerplate format that includes familiar discussions of how their plans for the coming y...

Read More
Two executives whispering in an empty hallway

The Activision Blizzard Case, Part II: Whistleblower Protections

Two executives whispering in an empty hallway

Earlier this week, we told you about the potential ramifications for disclosure controls stemming from the Securities and Exchange Commission’s $35 million settlement with video game maker Activision Blizzard. Prospective whistleblowers – a...

Read More
Hands holding a videogame controller

The Activision Blizzard Case, Part I: Disclosure Controls

Hands holding a videogame controller

“Mission creep” is one of those nebulous concepts that government watchdogs love. Originating in military strategy, the term generally refers to an agency or office expanding its focus beyond its own stated purpose. It comes to mind when st...

Read More
Pass Go spot on a Monopoly game board

Big Tech Cases Part of Larger Antitrust Campaign

Pass Go spot on a Monopoly game board

President Biden’s administration doesn’t share much in common with its predecessor – from temperament to policy positions to governing style. One notable exception, however, appears to be their willingness to take on one of big tech’s bigge...

Read More
Invisible fraud: Illusionist holds canvas, blending into pier

Crenshaw Goes on the Offensive Against Reg D

Invisible fraud: Illusionist holds canvas, blending into pier

What do WeWork, Theranos and FTX have common? Aside from being some of the biggest corporate boondoggles in recent history, they all managed to raise substantial equity financing without going public. And if you think that defeats the purpo...

Read More