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RULES & RULINGS & ESG

Edward J. DeMarco, Jr.

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REGULATION, LEGISLATION, AND THE COURTS

SEC ANNOUNCES EXAMINATION PRIORITIES

The Securities and Exchange Commission’s Division of Examinations has identified its current examination priorities, including: environmental, social and governance (ESG) investing; information security and operational resiliency; emerging technologies; and crypto-assets. Typically, the SEC publishes its examination priorities to provide insights into its risk-based approach, inclu…

About the Author
Edward J. DeMarco, Jr.
Chief Administrative Officer & General Counsel, RMA
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