During our recent webinar, Foreside & K&L Gates discussed the 2021 examination priorities with particular focus on the impact of compliance programs of investment advisors and investment companies, including:
- Current regulatory trends, including the SEC’s new ESG and climate change initiatives
- Information security & operational resiliency
- Fintech and innovation
- Retail investors, including seniors and those saving for retirement
- Reg BI and fiduciary duty compliance
- AML requirements for RICs and BDs
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