SEC’s 2021 Examination Priorities Focus On Fintechs And Sustainability
By EsqSocial Corporation 19/04/21
In March, the Securities and Exchange Commission (SEC)’s Division of Examinations announced its 2021 examination priorities. The SEC has committed to focusing its investigations on, among other issues, “attendant risks related to FinTech,” conflicts of interest for securities brokers, and investment advisor breach of fiduciary duty......
By: McGlinchey Stafford