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.