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Securities & Exchange Commission 2021 exam priorities: Information security & operational resiliency; Financial technology fintech; digital assets; anti-money laundering AML; London Inter-Bank Offered Rate LIBOR transition; investment advisers; broker-dealers and market infrastructure
SEC establishes task force on ESG issues The move is the latest effort by the agency to emphasize oversight of sustainability disclosure and investing. The commission's Republican members raise questions about the flurry of climate activity. March 4, 2021 3 MINS The Securities and Exchange Commission announced Thursday it has created an enforcement task force on climate and environmental social and governance issues — the latest in a flurry of agency activity emphasizing climate risk and sustainability. “Consistent with increasing investor focus and reliance on clima...
Enhanced Focus on Climate-Related Risks FOR IMMEDIATE RELEASE Washington D.C., March 3, 2021 — The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. The Division publishes its examination priorities annually to provide insights into its risk-based ap...
SEC Division Of Examinations Announces 2021 Examination Priorities - Enhanced Focus On Climate-Related Risks Date 03/03/2021 The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. The Division publishes its examination priorities annually to provide insights into its ...
Following days of enormous and unusual swings in stocks including GameStop and AMC, as well as concerned comments from the White House, the Securities and Exchange Commission has disclosed it is monitoring the situation. "We are aware of and actively monitoring the on-going market volatility in the options and equities markets and, consistent with our mission to protect investors and maintain fair, orderly, and efficient markets, we are working with our fellow regulators to assess the situation and review the activities of regulated entities, financial intermediaries, and other market partic...