The SEC continues to revisit firms with prior deficiencies and is increasingly relying on its data analytics technology to determine its examination schedule. Founder and President Amy Lynch explains that the regulator has been returning to firms that had previous violations, conducting followup exams to ensure those firms have made the proper corrective measures. One area of focus has been firms employing individuals with disciplinary histories without issuing the required disclosures. See Fund Intelligence (subscription required), “SEC examiners seen targeting prior offenders.”
