- SEC’s Division of Examinations issued its 2021 Examination Priorities, pointing out the areas where it intends to focus its resources for examinations in the coming year
- The intended targets include:
- Compliance with the newly implemented Regulation Best Interest
- Unique compliance issues related to COVID pandemic
- Operational resilience and risks associated with climate change
- Exposure to and preparations for the expected discontinuation of LIBOR
- https://www.jdsupra.com/legalnews/sec-s-division-of-examinations-issues-6634724/
