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

USA - March 12 2021 On March 3, 2021, the Division of Examinations of the US Securities and Exchange Commission (the "Examinations Division" and "SEC," respectively)…

Peter M. McCamman, Adam D. Kanter, Stephanie M. Monaco.

US SEC Announces the Creation of a Climate and ESG Task Force

USA - March 10 2021 The past few weeks have seen a flurry of ESG-related announcements coming from the US Securities and Exchange Commission (SEC) Acting Chair and staff…

Andrew Olmem, Anna T. Pinedo, Christina M. Thomas, J. Paul Forrester.

SEC Examinations Division Issues Risk Alert Regarding Digital Assets

USA - March 1 2021 On February 26, 2021, the Division of Examinations ("Division") of the US Securities and Exchange Commission ("SEC") published a risk alert regarding…

Stephanie M. Monaco.

What Is the Fate of the New Marketing Rule for Investment Advisers?

USA - February 10 2021 On December 22, 2020, the US Securities and Exchange Commission (SEC) adopted amendments under the Investment Advisers Act of 1940, as amended…

Peter M. McCamman, Adam D. Kanter, Stephanie M. Monaco.

Fintech Companies Face Investment Company Status Challenges

USA - February 9 2021 Fintech companies can face a variety of regulatory challenges under the federal securities laws, including one that often receives minimal attention…

Stephanie M. Monaco.