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.
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