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Our Commitment to Diversity

SEC 2021 Exam Priorities, co-hosted with Foreside

KL Gates Hosted Event
Date: 7 April 2021
Location: via Webinar

On 3 March 2021, the Securities and Exchange Commission’s Division of Examinations (formerly OCIE), announced its 2021 examination priorities. This year’s priorities have a greater focus on current and emerging topics, including climate-related and ESG (environmental, social and governance) risks. 

In this webinar, panelists will dive into the 2021 Examination Priorities with particular focus on the impact of the 2021 exam priorities on the compliance programs of investment advisers and investment companies, including:

  • Current regulatory trends, including the SEC's new ESG and climate change initiatives
  • Information security and operational resiliency
  • Fintech and innovation
  • Retail investors, including seniors and those saving for retirement
  • Reg BI and fiduciary duty compliance
  • AML requirements for RICs and BDs
  • Foreside
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