Stephanie Monaco

Stephanie Monaco

Mayer Brown

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SEC’s Division of Examinations 2021 Exam Priorities – Investment Advisers and Investment Companies

On March 3, 2021, the Division of Examinations of the US Securities and Exchange Commission (the “Examinations Division” and “SEC,” respectively) announced its 2021 examination priorities, which, as in previous years, provide...more

3/17/2021  /  Asset Management , Broker-Dealer , Environmental Social & Governance (ESG) , FinTech , Investment Adviser , OCIE , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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