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April 2021 Investment Management Update

Friday, April 9, 2021
SEC Announces 2021 Examination Priorities
The SEC’s Division of Examinations (Division), formerly known as the Office of Compliance Inspections and Examinations (OCIE), released its 2021 examination priorities. In its release, the Division noted that it completed over 2,952 examinations in 2020 and issued more than 2,000 deficiency letters. Approximately 15% of all registered investment advisers were examined during 2020 and the Division completed more than 100 examinations of investment companies. The Division also conducted hundreds of outreach calls to investment companies and advisers to assess market impacts of the COVID-19 pandemic. The 2021 priorities are grouped into the following categories, each of which is described below in more detail: ....

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SEC Examinations Division Issues Risk Alert Regarding Digital Asset Securities | Dechert LLP

SEC Examinations Division Issues Risk Alert Regarding Digital Asset Securities | Dechert LLP
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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 Division of Examinations Releases Risk Alert for Digital Asset Securities | Proskauer - Blockchain and the Law

SEC Division of Examinations Releases Risk Alert for Digital Asset Securities | Proskauer - Blockchain and the Law
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SEC Examinations Releases Digital Asset Securities Risk Alert

Sunday, March 7, 2021
On February 26, 2020, the Security and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) published a Risk Alert, “The Division of Examinations’ Continued Focus on Digital Asset Securities.” In the Risk Alert, the Division offered insight into its current examination focus with respect to the activities of market participants, including investment advisers, concerning digital assets that are securities (“Digital Asset Securities”) and distributed ledger technologies.
The Alert outlines the observations of the Division, which were the product of examinations of investment advisers, broker-dealers, and transfer agents and their use of Digital Asset Securities. At only eight pages, the Alert is not an exhaustive compliance document for market participants and does not detail explicitly how firms might remain in compliance with securities laws and regulations. The Division’s outline of the risks it ....

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