2021 SEC Exam Priorities


During our March 4, 2021 (12:00 CT) webinar, our consultants provide an overview of the 2021 exam priorities. Our consultants then provide you with tips for ways investment advisers can make sure they are prepared at all times for any type of examination.


The SEC Office of Compliance Inspections and Examinations recently published its 2021 National Exam Program Examination Priorities. Although the SEC Exam Priorities are released to let investment advisers know some of the key areas of focus and current concern, these priorities may not be all inclusive of the types of exams that will be conducted. Additionally, when the SEC contacts an investment adviser to notify them of an examination being scheduled, they will not typically provide any information regarding the type of examination or reason for the examination being conducted. As an investment adviser, you should be prepared at all times for an examination regardless of the focus. During our March 4, 2021 (12:00 CT) webinar, our consultants provide an overview of the 2021 exam priorities. Our consultants then provide you with tips for ways investment advisers can make sure they are prepared at all times for any type of examination.

Click the following link to read the SEC’s Exam Priorities release https://www.sec.gov/news/press-release/2020-4

SEC Exam Priorities 2021


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