While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will face: an SEC examination.
Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail Bernstein at the 2021 IAA Investment Adviser Compliance Conference.
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