SEC Division of Examinations Releases 2021 Examination Priorities | Kilpatrick Townsend & Stockton LLP
Each year, the SEC’s Division of Examinations (f.k.a. OCIE) (the “ Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing, reviewing, and updating their compliance programs. The 2021 Examination Priorities (the “ 2021 Priorities”), which were released last month, indicate a greater focus on conflicts of interest for broker-dealers (“ BDs”) and registered investment advisers (“ RIAs”); a special emphasis on disclosure of climate and environmental, social, and governance (“ ESG”)-related risks; and conc...
Source: jdsupra.com