Latest Breaking News On - Office of compliance investigations - Page 1 : comparemela.com

To embed, copy and paste the code into your website or blog: The U.S. Securities and Exchange Commission (“SEC”) released its 2021 Examination Priorities on March 3.  The Examinations group – elevated last December to Division status (formerly the Office of Compliance Investigations and Examinations (“OCIE”))   covered the list of perennial concerns.  The 2021 priorities include some new subjects, however, reflecting the policy emphasis of the Biden administration. “This year, the Division is enhancing its focus on climate and ESG-related risks by examining proxy voting policies and practices to ensure voting aligns with investors’ best interests and expectations, as well as firms’ business continuity plans in light of intensifying physical risks associated with climate change,” said Acting Chair Allison Herren Lee. “Through these and other efforts, we are integrating climate and ESG considerations into the agency’s broader regulatory framework.” 

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