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Examining SEC's 2021 Examination Priorities - Corporate/Commercial Law

Examining SEC's 2021 Examination Priorities - Corporate/Commercial Law
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Investment Management Update - June 2021 - Technology

The Office of the Chief Accountant of the SEC's Division of Investment Management periodically issues "Dear Chief Financial Officer" letters to help registered investment companies. ....

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SEC 2021 National Exam Program Examination Priorities - Corporate/Commercial Law

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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 emphasis on ESG matters in other
contexts, as well as that of other regulators. This year s
priorities also include examinations relating to Regulation Best ....

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Regulatory Update and Recent SEC Actions - April 2021 | Blank Rome LLP

REGULATORY UPDATES
SEC Leadership Changes
On April 14, 2021, the U.S. Senate voted to approve President Biden’s nomination of Gary Gensler as Chairman of the Securities and Exchange Commission (the “SEC”) through June 5, 2021. The vote came after the Senate Banking Committee endorsed Gensler’s nomination in March 2021. The confirmation only approves Gensler to serve the remainder of former SEC Chairman Jay Clayton’s term, though the Senate Banking Committee has cleared Gensler to serve another five-year term afterward. Gensler served as chairman of the U.S. Commodity Futures Trading Commission from 2009 to 2014, and helped to draft the Sarbanes-Oxley Act as senior advisor to U.S. Senator Paul Sarbanes. In a statement, the SEC’s four commissioners said they welcome Gensler “and look forward to working together to execute our vital mission.” ....

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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 concern about risks related to financial technology (“
FinTech”) investments, including digital assets.
1
The 2021 Priorities offer another indication of the Division’s sharpening focus on the investment management industry. Despite the significant increase in the number of RIAs and disruptions due to the pandemic, the 2021 Priorities report that the Division ....

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