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2021 SEC Division of Examinations Priorities
8 March 2021
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On March 3, 2021, the U.S. Securities and Exchange Commission’s (“SEC”) newly-renamed Division of Examinations (“EXAMS” or “Division”) released its 2021 Examination Priorities (“2021 Priorities”).
While many of the priorities highlighted in this year’s publication reflect classic areas of concern, the 2021 Priorities also reflect a clear focus on adaptations to processes necessitated by the COVID-19 pandemic.
The 2021 Priorities also reflect new scrutiny of Environmental, Social, and Governance (“ESG”) related matters, a policy priority for the SEC under the Biden Administration, as well as attention to Regulation Best Interest (“Reg BI”) compliance and related scrutiny on complex products.
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