Corporate & Financial Weekly Digest, Featuring Articles on the SEC's new Climate and ESG Task Force, the SEC's Examination Priorities for 2021 and the CFTC's GMAC Meeting to Discuss Retail Participation in the Derivatives Markets

Susan Light
Katten Muchin Rosenman LLP
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BROKER-DEALER -

SEC Announces 2021 Examination Priorities -

On March 3, the Securities and Exchange Commission’s Division of Examinations announced its examination priorities for 2021. These priorities include a greater focus on climate-related risks, conflicts of interests for brokers and investment advisers, and attendant risks related to FinTech.

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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