March 12, 2021

SEC’s Division of Examinations 2021 Exam Priorities – Investment Advisers and Investment Companies

On March 3, 2021, the Division of Examinations of the US Securities and Exchange Commission announced its 2021 examination priorities, which, as in previous years, provide insight into its risk-based approach for the year with respect to the entities it examines. In this Legal Update, we discuss the announced priorities applicable to investment advisers registered under the Investment Advisers Act of 1940 and investment companies registered under the Investment Company Act of 1940.

Resource Downloads

Stay Up To Date With Our Insights

See how we use a multidisciplinary, integrated approach to meet our clients' needs.