03.30.22

ESG, Reg BI Top SEC’s Examination Priorities

by: Mark Schoeff, Jr.

The U.S. Securities and Exchange Commission will focus on how financial advisors use environmental, social and governance (ESG) investment strategies and how they are complying with Regulation Best Interest in its examinations this year. In addition, the regulator highlighted assessments of private funds, cybersecurity and cryptocurrency as areas of significant focus in the Division of Examinations’ annual examination priorities report recently posted.

Read the full article on InvestmentNews