SilverVision Archive

Guide To 2021 SEC Exam Priorities

Silver reviews the most important areas of focus from the SEC’s 2021 Exam Priorities, including ESG and climate-related risks, compliance risks and conflicts of interest for investment advisers, and a

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ESG, Please Meet the SEC

Silver’s ESG experts respond to an article entitled “ESG Funds Draw SEC Scrutiny,” featured in The Wall Street Journal on December 16, 2019.

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20+ Things for 2020

As 2019 comes to a close, Silver recommends 20+ key compliance and ESG considerations that investment advisers and broker dealers should focus on in 2020.

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