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Guide To 2021 SEC Exam Priorities

By March 15, 2021July 21st, 2022No Comments
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”
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