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Search results with tag "Examination priorities"
2020 Examination Priorities - SEC
www.sec.govnew Regulation Best Interest, the new Form CRS Relationship Summary, and two separate interpretations under the Advisers Act, which will be FY 2020 examination priorities. OCIE recognizes that these new rules will require various market participants to make changes to their operations, including to required disclosures, marketing materials and
2021 Examination Priorities Report - SEC
www.sec.govhealth and medical concerns, care for family members, financial stresses, virtual schooling, and social distancing. The year 2020 ushered in many challenges and changes. There has been change in almost every facet of our lives, including in the delivery of financial services and the operations of the financial services industry.