Last month, the SEC Division of Examinations (the "Division"; formerly the "Office of Compliance Inspections and Examinations") released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are...more
4/15/2021
/ Cybersecurity ,
FinTech ,
Investment Adviser ,
Libor ,
Money Laundering ,
OCIE ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Standard of Conduct