SEC 2021 Exam Priorities: COVID, Climate Change & FinTech
Thursday, March 11, 2021 Last week, the Securities and Exchange Commission’s Division of Examinations (the “Division”) released its 2021 examination priorities. The priorities reflect the impact of the COVID-19 pandemic, including how it has increased risks related to cybersecurity; a new focus on climate change; and appear to recognize concerns raised by the recent trading in GameStop stock. Impact of COVID-19 The onset of the work-from-home environment arising from the COVID-19 pandemic, has, among other things, increased the SEC’s concerns about “endpoint security, d...
Source: natlawreview.com