The SEC Has Issued Its 2021 Exam Priorities

The Securities and Exchange Commission’s Division of Examinations announced their 2021 examination priorities. The priorities give the industry a glimpse into where the SEC believes the greatest potential market risks may be. This year’s priorities focus on climate, environmental, social, and governance related risk factors. They will be examining firms’ business continuity plans, in light of risks of property damage and business interruptions related to climate change. Other areas of focus are Reg BI, digital assets, and anti-money laundering programs. The full release can be found here:

SEC 2021 Exam Priorities