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It is clear that environmental, social, and governance (“ESG”) issues will be an “enhanced focus” for the SEC in 2021.
See, the regulator’s recent announcement of an ESG task force and the Division of Examinations priorities letter for 2021. However, whether that enhanced focus results in a material change to the regulator’s practices is, according at least to two of its commissioners, “not yet clear.” As commissioners Hester Peirce and Elad Roisman discussed in a recent public statement, the Commission has already been focusing on climate-related issues for “decades,” and put into context, these recent ESG initiatives look more like a “continuation of the work staff has been doing” than “a program to assess public filers’ disclosure against any new standards.” As we wait for additional guidance related to these initiatives, firms and regulatory professionals can draw important insights
SEC Enforcement in 2021: A Look Ahead | Foley Hoag LLP - White Collar Law & Investigations jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
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Information security is critical to the operation of the financial markets and the confidence
of its participants. . . The Division is acutely focused on working with firms to identify and address information security risks, including cyber-attack related risk . . .” SEC Division of Examinations,
On March 3, 2021, the Securities and Exchange Commission’s newly renamed Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE)) announced its 2021 examination priorities. Information security and operational resiliency ranked number two out of the top five priorities sending a clear message that the SEC is focused on emergent security threats, particularly cyber-attacks, resulting from the sudden and unprecedented increase in remote operations.