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Compliance Connections Webinar: SEC 2021 Exam Priorities


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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