SEC Division of Examinations – 2021 Priorities
By EsqSocial Corporation 01/04/21
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 priorities overlap with those identified in the past, there also were some notable additions, including a focus on the effects of the COVID-19 pandemic, broker-dealers’ compliance with Regulation Best Interest (“Reg. BI”), and whether funds purporting to implement ESG...
By: King & Spalding