Linkedin Youtube
Contact Us

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 continued focus on digital assets.
The past few months have featured a flurry of new regulatory developments with direct ramifications for private fund managers, particularly with the release by the SEC of its 2021 Exam Priorities and Division of Examinations’ Continued Focus on Digital Asset Securities. This article highlights key areas of focus as outlined by the SEC’s announced 2021 Exam Priorities and offers recommendations on proactive steps that investment advisers can take to prepare for an SEC exam.

Key Takeaways:

  • ESG and climate risks are emerging as key priority areas for the SEC in 2021
  • The SEC will further assess compliance risks and conflicts of interest associated with managers to private funds
  • The SEC will continue to focus on Digital Asset Securities as an area of “unique risk to investors”

[button open_new_tab=”true” color=”accent-color” hover_text_color_override=”#fff” url=”https://silverregulatoryassociates.com/wp-content/uploads/2021/05/SilverDigitalWhitepaper_SECExams2021_FIN.pdf” text=”Read Article” color_override=””]

Share the Post:

Filter by Topic

SilverVision Archive

Navigating the SEC’s 2026 Exam Priorities

January 14, 2026 No Comments

The SEC’s 2026 Examination Priorities signal tighter scrutiny for private fund advisers, with expectations increasingly tied to real-world risk and demonstrable controls. Silver breaks down the 2026 focus areas with lessons from 2025 exams and outlines three practical actions firms can take now to strengthen exam readiness.

Read More »

The Crypto Current, Vol. 1 – The CFTC Takes Center Stage

January 9, 2026 No Comments

For months, U.S. crypto regulation has been defined by big promises, informal signals and plenty of unanswered questions. That is starting to change. In the past several weeks, the direction of travel has become clearer and the pace has picked up. In this inaugural edition of The Crypto Current, we break down what changed, why it matters and what firms should be watching for next.

Read More »

SEC Reopens: Why Private Funds Still Cannot Treat 2025 as a Free Pass

December 17, 2025 No Comments

The SEC shutdown has left private fund managers navigating a rare period of regulatory silence — but compliance obligations have not paused. Silver’s Compliance Team outlines how firms can stay prepared and how to use this time strategically to strengthen their compliance programs before oversight resumes.

Read More »