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SEC 2021 Exam Priorities: COVID, Climate Change & FinTech

Thursday, March 11, 2021 Last week, the Securities and Exchange Commission’s Division of Examinations (the “Division”) released its 2021 examination priorities. The priorities reflect the impact of the COVID-19 pandemic, including how it has increased risks related to cybersecurity; a new focus on climate change; and appear to recognize concerns raised by the recent trading in GameStop stock. Impact of COVID-19 The onset of the work-from-home environment arising from the COVID-19 pandemic, has, among other things, increased the SEC’s concerns about “endpoint security, data loss, remote access, use of third-party communication systems and vendor management.” Consequently, the Division will review whether firms have taken appropriate steps to:

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SEC Exam Priorities for 2021: What You Need to Know | Epstein Becker & Green

SEC Exam Priorities for 2021: What You Need to Know | Epstein Becker & Green
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SEC Exam Priorities for 2021

SEC Exam Priorities for 2021
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SEC Division of Examinations Announces 2021 Examination Priorities | Troutman Pepper

To embed, copy and paste the code into your website or blog: On March 3, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (Division), formerly known as the Office of Compliance Inspections and Examinations, announced its examination priorities for fiscal year 2021. The Division publishes the report annually to identify areas where it believes potential risks to investors and U.S. capital markets may exist. This year’s report focused particularly on climate-related risks, conflicts of interests for brokers and investment advisers, and attendant risks related to fintech. Below find a summary of the Division’s 2021 examination priorities.

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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

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