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2021 SEC Examination Priorities: What You Should Know

Join us as we discuss discuss how the 2021 examination priorities may impact your firm and how you can prepare.

On Demand Anytime Your Desk!

The U.S. Securities and Exchange Commission’s Division of Examinations (formerly, the Office of Compliance Inspections and Examinations) released its FY2021 Examination Priorities earlier this month.

The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks, and include an increased focus on private fund risk disclosures and conflicts of interest, alternative data, digital assets, cybersecurity, technology, advanced analytics, anti-money laundering (AML), and Broker-Dealer and Registered Investment Company risks. They also reflect a significant shift and interest in climate and environmental, social, and governance (ESG) related risks and strategies.

Find out how the 2021 Examination Priorities may impact your firm and your compliance program on our webcast. 

Discussion Topics

Together we'll discuss:

  • Priorities for compliance
  • The SEC's focus on ESG
  • Considerations for performance
  • Cybersecurity focus areas including information security and operational resilience
  • Broader regulatory themes for 2021​​​​​

All webcasts are recorded and sent to registrants following the live event. 

Speakers

Carlo di Florio

Carlo di Florio

Chief Services Officer, ACA Group

Alyssa Briggs

Alyssa Briggs

Managing Director of Client Development, ESG Advisory, ACA Group

Karen Foley

Karen Foley

Partner, Co-Head Performance Services, ACA Group

Pat Shea

Pat Shea

Partner, U.S. Regulatory Compliance, ACA Group

Christine Tetherly-Lewis

Christine Tetherly-Lewis

Senior Principal Consultant, ACA Aponix

Questions?

If you need any assistance registering for this webcast, please contact webcastinfo@acaglobal.com

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