SEC Division of Examinations Releases 2021 Examination Priorities | Dechert LLP – Digitalmunition




Featured og.9260_216.jpg

Published on March 30th, 2021 📆 | 4132 Views ⚑

0

SEC Division of Examinations Releases 2021 Examination Priorities | Dechert LLP

The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2021 Examination Priorities on March 3, 2021. The 2021 Examination Priorities cover eight broad topics:

– The protection of retail investors, including seniors and those saving for retirement (with an emphasis on standards of conduct owed to retail investors);

– Information security and operational resiliency (with particular focus on cybersecurity in remote operations and climate change-related risks);

– Financial technology (Fintech) and innovation, including digital assets;

– Anti-money laundering (AML) programs;

– The London Inter-Bank Offered Rate (LIBOR) transition;

– Additional matters relating to investment advisers and investment companies;

– Additional matters relating to broker-dealers and municipal advisors; and

– Market infrastructure functions, including Regulation Systems Compliance and Integrity (SCI) and transfer agents.

Please see full Alert below for more information.

originally appeared on Source link

Tagged with:



Leave a Reply