2021 SEC Examination Priorities: What You Should Know
The U.S. Securities and Exchange Commission’s Division of Examinations (formerly, the Office of Compliance Inspections and Examinations) released its FY2021 Examination Priorities earlier this month.
The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks, and include an increased focus on private fund risk disclosures and conflicts of interest, alternative data, digital assets, cybersecurity, technology, advanced analytics, anti-money laundering (AML), and Broker-Dealer and Registered Investment Company risks. They also reflect a significant shift and interest in climate and environmental, social, and governance (ESG) related risks and strategies.
Find out how the 2021 Examination Priorities may impact your firm and your compliance program on our live webcast on Tuesday, March 30 at 11:00 AM EDT.
Together we'll discuss:
- Priorities for compliance
- The SEC's focus on ESG
- Considerations for performance
- Cybersecurity focus areas including information security and operational resilience
- Broader regulatory themes for 2021
All webcasts are recorded and sent to registrants following the live event.