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Next wave of Reg BI exams to scrutinize firms' trading activity

Next wave of Reg BI exams to scrutinize firms' trading activity
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

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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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Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says

Hundreds of Firms Didn't File Form CRS, SEC Exam Director Says
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

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SEC establishes task force on ESG issues

SEC establishes task force on ESG issues
The move is the latest effort by the agency to emphasize oversight of sustainability disclosure and investing. The commission s Republican members raise questions about the flurry of climate activity.
March 4, 2021
3
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The Securities and Exchange Commission announced Thursday it has created an enforcement task force on climate and environmental social and governance issues the latest in a flurry of agency activity emphasizing climate risk and sustainability.
“Consistent with increasing investor focus and reliance on climate and ESG-related disclosure and investment, the Climate and ESG Task Force will develop initiatives to proactively identify ESG-related misconduct,” the SEC said in a statement. ....

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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 ....

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