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King & Spalding

SEC Division of Examinations – 2021 Priorities

King & Spalding on

On March 3, 2021, the SEC’s Division of Examinations (“Division” or “EXAMS”) published its annual Examination Priorities Report, which identified eight primary areas of focus for Fiscal Year 2021. While many of these...more

Faegre Drinker Biddle & Reath LLP

SEC Exams for 2021 to Focus on Climate and ESG, Reg BI, Crypto, & More

Faegre Drinker Biddle & Reath LLP on

The Division of Examination’s (former OCIE) annual announcement of its exam priorities is always noteworthy, as it provides helpful insight into this division’s thinking and can serve as a roadmap for regulated entities to...more

Dechert LLP

2019 Examination Priorities of SEC Office of Compliance Inspections and Examinations are Announced

Dechert LLP on

Next year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on December 20, 2018, and cover six broad, albeit...more

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