SEC Division of Examinations Announces 2021 Examination Priorities
- Written by Newsfile
Washington, D.C.--(Newsfile Corp. - March 3, 2021) - The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers...