With new SEC leadership on the immediate horizon, now is the time to take stock of your compliance program and its performance during the pandemic of the past 12 months. Consider the questions the SEC will ask as part of an exam of your firm. Reviewing a few of our UpFront postings during the past year will help. These were produced to inform and educate CCOs, compliance staff, and senior management – and it’s a great place to start. The recent SEC examination priorities for 2021 alluded to many focus areas that have emerged as concerns for the regulator during the pandemic, and the postings listed here will help you stay a step ahead.
View our ComplianceAlert, “SEC Identifies COVID-19 Concerns”
View our BoardRoom post, “How the Remote CCO Succeeds”
View our ComplianceAlert, “2021 SEC Examination Priorities Released”
