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US SEC examination priorities for 2021: what you need to know

Matthew Wirig (Chapman and Cutler LLP, Chicago, USA)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 26 June 2021

Issue publication date: 30 August 2021

47

Abstract

Purpose

To summarize the U.S. Securities and Exchange Commission Division of Examinations’s recently published 2021 examination priorities.

Design/methodology/approach

Features short summaries of select aspects of the SEC Division of Examinations’ recently published 2021 examination priorities.

Findings

The SEC’s priorities for 2021 examinations include retail investor protection; information security; operational resiliency; financial technology and innovation, including digital assets; anti-money laundering; LIBOR transition, and selected areas for registered investment advisers.

Practical implications

Firms should consider the SEC examination priorities as they conduct their annual reviews of policies, procedures and business activities. Where firms observe deficiencies in their own practices, adjustments should be made before they find themselves the subject of an SEC investigation, examination or enforcement action.

Originality/value

Practical guidance for investment advisers, investment companies, municipal advisors, and broker-dealers from experienced broker-dealer, securities and investment management lawyer.

Keywords

Citation

Wirig, M. (2021), "US SEC examination priorities for 2021: what you need to know", Journal of Investment Compliance, Vol. 22 No. 3, pp. 222-226. https://doi.org/10.1108/JOIC-04-2021-0011

Publisher

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Emerald Publishing Limited

Copyright © 2021 Chapman and Cutler LLP.

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