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Identity theft is a recurring issue for financial firms, such as Investment Advisers and Broker Dealers, and their clients. Every year, individuals and firms experience monetary losses...
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...