Bates Research, Compliance and Regulatory Alerts  |  03-03-21

SEC Division of Examinations Announces 2021 Examination Priorities

SEC Division of Examinations Announces 2021 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations announced its 2021 examination priorities today, focusing on climate-related risks, 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. You can read the press release here

Stay tuned for our annual commentary, coming soon, on the SEC's 2021 priorities and how they may impact your legal, regulatory and compliance matters.

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