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SEC Annual Examination Priorities for RIAs

April 14, 2021

Last month, the SEC Division of Examinations (the "Division"; formerly the "Office of Compliance Inspections and Examinations") released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are advised to review the whole report, which can be found here. Financial advisers registered with the SEC should expect 2021 examinations to focus on the following areas:

We encourage you to consult with the authors of this e-alert or your Miller Canfield attorney if you have questions about the 2021 Examination Priorities.