On March 3, the Securities and Exchange Commission released its examination priorities for 2021. While most of the list echoes priorities from previous years, this year’s version includes a greater concentration on climate-related risk and environmental, social and governance matters.
Read our complete commentary on McGuireWoods’ Subject to Inquiry Blog for highlights from the 2021 examination priorities, which also address Regulation Best Interest compliance, the impacts of the COVID-19 pandemic and a continued focus on complex products.