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SEC Examination Priorities

Kilpatrick Townsend & Stockton LLP

SEC Expands Focus on ESG-Related Products

On April 9, 2021, the SEC’s Division of Examinations (f.k.a. OCIE) (the “Division”) released a risk alert (the “Alert”) highlighting observations from exams of registered investment advisers (“RIAs”), registered investment...more

Bryan Cave Leighton Paisner

Anti-Money Laundering Continues to be Among the Highest Regulatory Priorities, As Evidenced by Recent Enforcement Cases and...

For the past decade, anti-money laundering (“AML”) has been at the forefront of securities regulators’ priorities.  Indeed, AML enforcement cases have resulted in some of the highest fines imposed by securities regulators,...more

Akin Gump Strauss Hauer & Feld LLP

SEC’s Disclosure Rules to Touch Climate, Human Capital and More

According to media reports, during last week’s annual Conference on Financial Market Regulation—hosted jointly by the Securities and Exchange Commission’s (SEC) Division of Economic and Risk Analysis, Lehigh University and...more

NCC Group

As The FINRA Annual Conference Goes Virtual, A Chance To Address Pandemic-Related Best Practices

NCC Group on

This year, we’ll get to see each other virtually at the 2021 FINRA Annual Conference. This year, we’ll get to see each other virtually at the 2021 FINRA Annual Conference. After a cancellation last year due to COVID-19,...more

Bryan Cave Leighton Paisner

Through the Issuance of New Rules Aimed at Recidivist Brokers and the Firms That Hire Them, FINRA Loudly Exclaims to its...

Key Takeaways:  ..After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct, FINRA has adopted new rules to address such brokers. ..As set...more

Robinson & Cole LLP

2021 Investment Adviser Update

Robinson & Cole LLP on

Into The Flood Again, Same Old Trip It Was Back Then - The rules and regulations governing private equity and hedge fund advisers continue to develop in response to changes in technology. As a result, advisers are subject...more

Miller Canfield

SEC Annual Examination Priorities for RIAs

Miller Canfield on

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

Foreside

Regulatory Spring Cleaning! SEC Publishes Marketing Rule FAQ and 2021 Examination Priorities, and EXAMS Risk Alert Tackles Bitcoin...

Foreside on

For Investment Advisers & Broker-Dealers - Risk Alert - Division of Examinations’ Continued Focus on Digital Asset Securities. The popularity of Bitcoin and other cryptocurrencies grew exponentially in 2020, while financial...more

Jones Day

SEC’s Division of Examinations Signals Continuing Focus on Broker-Dealer AML Compliance Obligations

Jones Day on

The Situation: The Securities and Exchange Commission’s Division of Examinations ("EXAMS") released a Risk Alert on March 29, 2021, reminding broker-dealers of their obligation to comply with anti-money laundering ("AML")...more

Kilpatrick Townsend & Stockton LLP

SEC Division of Examinations Releases 2021 Examination Priorities

Each year, the SEC’s Division of Examinations (f.k.a. OCIE) (the “Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing, reviewing, and updating their...more

Thompson Coburn LLP

SEC emphasizes ESG by establishing new website and taking public comments on climate disclosure

Thompson Coburn LLP on

The U.S. Securities and Exchange Commission recently established a new webpage entitled “SEC Response to Climate and ESG Risks and Opportunities.” The new webpage is the latest in several moves by the Biden SEC that focus on...more

Lowenstein Sandler LLP

2020 and Q1 2021 Developments And Annual Compliance Checklists

Summaries of recent legislative and regulatory developments with respect to: •The SEC’s Examination Priorities for 2021- •The SEC’s Focus on Digital Asset Securities- •The SEC’s New Marketing Rule... ...more

Zuckerman Spaeder LLP

Erasing the Distinction Between What’s Good and What’s Profitable: The SEC’s Increased Focus on Climate and ESG

Zuckerman Spaeder LLP on

On March 22, 2021, the SEC launched a new page on its website to collect agency actions and resources about climate and environmental, social, and governance (ESG) issues in investing. This is the latest in a series of...more

Quinn Emanuel Urquhart & Sullivan, LLP

SEC 2021 Exam Priorities Show Little Change from Prior Years, But Will Focus on Impact of Pandemic on Regulated Entities

The SEC’s Office of Compliance Inspections and Examinations (OCIE)—now renamed the Division of Examinations (the “Division” or “Examinations”) recently published its annual list of examination priorities for 2021. While the...more

Ballard Spahr LLP

SEC 2021 Examination Priorities – Focus on Municipal Securities and Municipal Advisors

Ballard Spahr LLP on

The U.S. Securities and Exchange Commission’s Division of Examination (Division) announced its 2021 examination priorities (the Report) on March 3, 2021. The Division’s examination priorities reflect areas that present...more

Cozen O'Connor

SEC Continues to Signal its Commitment to ESG Disclosures and Reporting

Cozen O'Connor on

While there has not been any new rule-making from the Securities and Exchange Commission (SEC) just yet, the agency has sent clear signals over the past six weeks to public companies and investors about its commitment to...more

Perkins Coie

Blockchain Week in Review - March 2021 #2

Perkins Coie on

U.S. Developments - Legislation - Congress Members Propose Legislation Aimed at Better Clarifying Digital Asset Regulation - House Representatives Patrick McHenry (R-N.C.) and Stephen Lynch (D-Mass.) introduced legislation...more

Bass, Berry & Sims PLC

SEC Roars Into March Setting Stage for Heavy Enforcement Activity

Bass, Berry & Sims PLC on

Fittingly, the Securities and Exchange Commission (SEC) came into March like a lion. Over the first 10 days of March, several significant enforcement and compliance developments emanated from the SEC.  This notice briefly...more

Jones Day

SEC's Division of Examinations Issues 2021 Examination Priorities

Jones Day on

The Situation: The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam Priorities"). The Result: The 2021 Exam Priorities set...more

Dorsey & Whitney LLP

ESG - Is the SEC Ready to Lead?

Dorsey & Whitney LLP on

Climate is a topic that has gone from largely ignored to most talked about by the Commission. Recently, for example, the SEC hired a climate expert to serve on the senior staff....more

Proskauer Rose LLP

SEC Division of Examinations Announces 2021 Examination Priorities

Proskauer Rose LLP on

On March 3, 2021, the SEC’s Division of Examinations[1] announced its examination priorities for 2021. Noting the effects of the global COVID-19 pandemic, the Division of Examinations reported that during the agency’s 2020...more

Eversheds Sutherland (US) LLP

Digital Assets: The SEC’s roadmap for distribution and exams

In the span of the last five months, the Securities and Exchange Commission (SEC) and its staff have issued two statements, a risk alert and an exam priorities roadmap, all of which address digital assets in full or in part....more

Bryan Cave Leighton Paisner

SEC Acting Chair Announces Sweeping Climate and ESG Initiatives, New Regulatory Priorities and Potential Rollback of Recent Rule...

In a speech on March 15, 2021, Allison Herren Lee, Acting Chair of the SEC, reported on the steps the SEC is taking to meet investors’ growing demand for climate and ESG information, stating that “no single issue has been...more

Polsinelli

SEC Division of Examinations Announces 2021 Examination Priorities

Polsinelli on

For each of the past nine years, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (previously called the Office of Compliance Inspections and Examinations, or OCIE, and hereinafter referred to as...more

Mayer Brown Free Writings + Perspectives

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

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