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
Following days of enormous and unusual swings in stocks including GameStop and AMC, as well as concerned comments from the White House, the Securities and Exchange Commission has disclosed it is monitoring the situation. We are aware of and actively monitoring the on-going market volatility in the options and equities markets and, consistent with our mission to protect investors and maintain fair, orderly, and efficient markets, we are working with our fellow regulators to assess the situation and review the activities of regulated entities, financial intermediaries, and other market participants Acting Chair Allison Herren Lee,
Pete Driscoll, Director, Division of Examinations, Christian Sabella, Acting Director, Division of Trading and Markets said in a statement.
Traders Magazine
Pete Driscoll, Director, Division of Examinations
Christian Sabella, Acting Director, Division of Trading and Markets
Jan. 27, 2021
We are aware of and actively monitoring the on-going market volatility in the options and equities markets and, consistent with our mission to protect investors and maintain fair, orderly, and efficient markets, we are working with our fellow regulators to assess the situation and review the activities of regulated entities, financial intermediaries, and other market participants. We are aware of and actively monitoring the on-going market volatility in the options and equities markets and, consistent with our mission to protect investors and maintain fair, orderly, and efficient markets, (1/2) SEC News (@SEC News) January 27, 2021
FOR IMMEDIATE RELEASE Washington D.C., Dec. 22, 2020
The Securities and Exchange Commission today announced that Charles Koretke has been named Managing Executive of the Division of Examinations. In this role, Mr. Koretke will manage and lead Examinations’ business operations in the areas of human capital, examiner training and development, budget formulation and execution, planning and executing information technology initiatives, and the provision of analytical services that support examinations. He also will serve as Examinations’ primary liaison to other SEC divisions and offices on these matters. Mr. Koretke has been serving as Examinations’ Acting Managing Executive since October 2019.
Mr. Koretke began his career at the SEC in 1996 as compliance examiner in the Chicago Regional Office’s investment management examination program. He later was a branch chief and examination manager in the program and served as the manager of Examinations�
Charles Koretke Named Managing Executive of Division of Examinations
Washington, D.C. (Newsfile Corp. - December 22, 2020) - The Securities and Exchange Commission today announced that Charles Koretke has been named Managing Executive of the Division of Examinations. In this role, Mr. Koretke will manage and lead Examinations business operations in the areas of human capital, examiner training and development, budget formulation and execution, planning and executing information technology initiatives, and the provision of analytical services that support examinations. He also will serve as Examinations primary liaison to other SEC divisions and offices on these matters. Mr. Koretke has been serving as Examinations Acting Managing Executive since October 2019.