SEC.gov | SEC Division of Examinations Announces 2021 Examination Priorities
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...
Source: sec.gov