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SEC s Division Of Examinations Issues 2021 Examination Priorities - Finance and Banking

SEC s Division Of Examinations Issues 2021 Examination Priorities - Finance and Banking
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SEC 2021 Priorities: Info Sec, FinTech, AML, LIBOR Transition & More

Securities & Exchange Commission 2021 exam priorities: Information security & operational resiliency; Financial technology fintech; digital assets; anti-money laundering AML; London Inter-Bank Offered Rate LIBOR transition; investment advisers; broker-dealers and market infrastructure

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SEC gov | SEC Division of Examinations Announces 2021 Examination Priorities

Enhanced Focus on Climate-Related Risks FOR IMMEDIATE RELEASE Washington D.C., March 3, 2021 The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. “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 intens

City ofUnited kingdomPete driscollAllison herren leeNational securities exchangesFinancial technology fintechInvestment companiesBank offered rateExchange commission division of examinationsExchange commissionRegulation best interestActing chair allison herrenDivision director peteIncluding seniorsThose savingFiduciary duty compliance

SEC Division Of Examinations Announces 2021 Examination Priorities - Enhanced Focus On Climate-Related Risks

SEC Division Of Examinations Announces 2021 Examination Priorities - Enhanced Focus On Climate-Related Risks Date 03/03/2021 The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. “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

City ofUnited kingdomPete driscollAllison herren leeNational securities exchangesFinancial technology fintechInvestment companiesBank offered rateExchange commission division of examinationsExchange commissionRegulation best interestActing chair allison herrenDivision director peteIncluding seniorsThose savingFiduciary duty compliance