Emerging Risks Examination Team News Today : Breaking News, Live Updates & Top Stories | Vimarsana

To print this article, all you need is to be registered or login on Mondaq.com. On March 3, 2021, the Securities and Exchange Commission's Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination priorities. Notably, while the majority of the examination priorities echo OCIE priorities from prior years, this year's EXAMS priorities include a greater focus on climate-related risk and environmental, social, and governance (ESG) matters. This is consistent with the Commission's increased emphasi...

Friday, April 9, 2021 SEC Announces 2021 Examination Priorities The SEC’s Division of Examinations (Division), formerly known as the Office of Compliance Inspections and Examinations (OCIE), released its 2021 examination priorities. In its release, the Division noted that it completed over 2,952 examinations in 2020 and issued more than 2,000 deficiency letters. Approximately 15% of all registered investment advisers were examined during 2020 and the Division completed more than 100 examinations of investment companies. The Division also conducted hundreds of outreach calls to inv...

To embed, copy and paste the code into your website or blog: It is clear that environmental, social, and governance (“ESG”) issues will be an “enhanced focus” for the SEC in 2021. See, the regulator’s recent announcement of an ESG task force and the Division of Examinations priorities letter for 2021.  However, whether that enhanced focus results in a material change to the regulator’s practices is, according at least to two of its commissioners, “not yet clear.”  As commissioners Hester Peirce and Elad Roisman discussed in a recent public statement, the Commission has alr...