2021 SEC Examination Priorities

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 Chief Services Officer, ACA Group
	Alyssa Briggs Managing Director of Client Development, ESG Advisory, ACA Group
	Karen Foley Partner, Co-Head Performance Services, ACA Group
	Pat Shea Partner, U.S. Regulatory Compliance, ACA Group
	Christine Tetherly-Lewis Senior Principal Consultant, ACA Aponix