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SEC Compliance Advisors

SEC Compliance Updates

SEC Risk Alert: Review of ESG Investing

As we know from the SEC’s recent 2021 Examination Priorities, ESG remains a top focus for SEC staff this year, and is likely to remain in the spotlight for some...

SEC Division of Examinations Announces 2021 Examination Priorities

On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as the Office of Compliance Inspections and Examinations or OCIE) released their 2021 exam priorities. As...

2021 First Quarter Compliance Letter

We hope this letter finds you well. It has been an active quarter for compliance; new faces at the SEC, the 2021 priorities were announced, firms began the ramp up...