Press Release

Alert - The Colorado Division of Securities Announces 2023 Investment Adviser Examination Priorities

January 31, 2023 -- The Colorado Division of Securities (the “Division”) released its 2023 investment adviser examination priorities. Publication of the priorities should help advisory firms comply with newly adopted rules and focus attention on common deficiencies when reviewing their compliance programs or preparing for examinations. Examinations serve to protect investors by ensuring that advisers are following the Colorado laws and rules that govern them.