2022 Division Exam Priorities

2022 Division Exam Priorities

03 May 2022

Main Contributor: Gretchen Sturdivan, CSCP Creative Director & Client Service Manager Hindsight is 2021 It remains an annual highlight to read through the Division of Examinations’ (“Division”) Exam priorities, as we comb through what they deem to be significant focus areas and adjust our compliance programs accordingly. The Division provides Risk Alerts throughout the yearRead More »

ESG Investing Risks & Compliance Implications

ESG Investing Risks & Compliance Implications

02 July 2021

Main Contributor: Gretchen Sturdivan, Creative Director & Client Service Manager Approaching Sustainability The SEC Division of Examinations published a Risk Alert on April 9, 2021, as a result of their exam findings with firms who offer Environmental, Social, Governance (“ESG”) products and services. ESG investing has been an Examination Priority for the SEC for theRead More »