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RIA Examination Priorities for SEC

Wednesday, April 14, 2021
Last month, the SEC Division of Examinations (the Division ; formerly the Office of Compliance Inspections and Examinations ) released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are advised to review the whole report, which can be found
here. Financial advisers registered with the SEC should expect 2021 examinations to focus on the following areas:
Standards of Conduct: The Division will assess whether RIAs have fulfilled their fiduciary duty comprised of the duty of loyalty and duty of care to their client. RIAs should also expect continued examination of their Form CRS, including a focus on readability for clients and timely submission. ....

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SEC Annual Examination Priorities for RIAs | Miller Canfield

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Last month, the SEC Division of Examinations (the Division ; formerly the Office of Compliance Inspections and Examinations ) released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are advised to review the whole report, which can be found
here. Financial advisers registered with the SEC should expect 2021 examinations to focus on the following areas:
Standards of Conduct: The Division will assess whether RIAs have fulfilled their fiduciary duty comprised of the duty of loyalty and duty of care to their client. RIAs should also expect continued examination of their Form CRS, including a focus on readability for clients and timely submission. ....

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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 approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.
“This year, the Division is enhancing its focus on climate and ESG-related risks by examining proxy voting policies and practices to ensure voting aligns with investors’ best interests and expectations, as well as firms’ business continuity plans in ....

City Of , United Kingdom , Pete Driscoll , Allison Herren Lee , National Securities Exchanges , Financial Technology Fintech , Investment Companies , Bank Offered Rate , Exchange Commission Division Of Examinations , Exchange Commission , Regulation Best Interest , Acting Chair Allison Herren , Division Director Pete , Including Seniors , Those Saving , Fiduciary Duty Compliance , Operational Resiliency , Including Digital Assets , Money Laundering Programs , London Interbank Offered Rate , Areas Relating , Investment Advisers , Including Mutual Funds , Private Funds , Areas Involving Broker Dealers , Municipal Advisors ,

SEC Division Of Examinations Announces 2021 Examination Priorities - Enhanced Focus On Climate-Related Risks

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 risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.
“This year, the Division is enhancing its focus on climate and ESG-related risks by examining proxy voting policies and practices to ensure voting aligns with investors’ best interests and expectations, as well as firms’ business conti ....

City Of , United Kingdom , Pete Driscoll , Allison Herren Lee , National Securities Exchanges , Financial Technology Fintech , Investment Companies , Bank Offered Rate , Exchange Commission Division Of Examinations , Exchange Commission , Regulation Best Interest , Acting Chair Allison Herren , Division Director Pete , Including Seniors , Those Saving , Fiduciary Duty Compliance , Operational Resiliency , Including Digital Assets , Money Laundering Programs , London Interbank Offered Rate , Areas Relating , Investment Advisers , Including Mutual Funds , Private Funds , Areas Involving Broker Dealers , Municipal Advisors ,