Division Director Peter Driscoll addressed the enhanced focus on climate risks and ESG-related issues in remarks at the IAA’s Investment Adviser Compliance Conference.
March 05, 2021
Tags: Compliance, Examinations
SEC Announces Enforcement Task Force on Climate and ESG
In yet another move to intensify its focus on matters relating to ESG disclosures and investments, the SEC’s Division of Enforcement has created a Climate and ESG Task Force.
March 05, 2021
Tags: Allison Herren Lee, Elad Roisman, ESG, Examinations, Hester Peirce, SEC Corporation Finance, SEC Enforcement
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets
The SEC’s Division of Examinations has issued a new Risk Alert to assist firms in developing and enhancing their compliance practices related to digital securities and other distributed ledger assets.
March 01, 2021
Tags: FinTech, Digital Assets, Examinations, Risk Alert
Senior staff from several SEC Divisions and Offices joined together on November 19 to present a virtual, half-day CCO outreach event focused on investment adviser and investment company compliance issues.
November 24, 2020
Tags: CCO, Compliance, Examinations
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
OCIE has issued a Risk Alert providing an overview of notable compliance issues identified in a sample of deficiency letters from recent adviser exams.
November 19, 2020
Tags: Compliance Policies, Examinations