Posts in Regulatory Examinations.
SEC Division of Examinations Cites Enhanced Focus on Business Continuity Processes, Protection of Retail Investors and ESG-Related Risks Among its 2021 Priorities

The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations ("EXAMS" or the "Division") released its annual priorities on March 3, 2021 in a 42-page report of exam priorities.  Among other things, the list includes an ongoing emphasis on the overall strength of financial advisers’ compliance programs and a growing interest in the evolving risks to investors related to relevant climate and environmental, social, and governance (ESG) funds.

 

The SEC recently announced charges against an investment adviser, Premium Point Investments LP, and accused the adviser of engaging in intentional fraud - you can read the SEC's litigation release and find its Complaint containing the charges here. The SEC...

With the issue of investment advisers putting their clients into higher-fee share classes when a low-cost option is available continuing to be a problem - and the subsequent Share Class Selection Disclosure Initiative developed to combat the problem on a...

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