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.
Together we'll discuss:
All webcasts are recorded and sent to registrants following the live event.
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Carlo di FlorioChief Services Officer, ACA Group |
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Alyssa BriggsManaging Director of Client Development, ESG Advisory, ACA Group |
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Karen FoleyPartner, Co-Head Performance Services, ACA Group |
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Pat SheaPartner, U.S. Regulatory Compliance, ACA Group |
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Christine Tetherly-LewisSenior Principal Consultant, ACA Aponix |
If you need any assistance registering for this webcast, please contact webcastinfo@acaglobal.com.