All Division of Examinations articles

Article

Compliance involvement crucial to consistent ESG disclosures, SEC says

2021-04-15T20:34:00Z

SEC examiners are focusing on whether registered firms’ ESG disclosures align with their investment practices.

Article

Biden influence apparent in SEC 2021 examination priorities

2021-03-03T21:12:00Z

The long-awaited 2021 examination priorities of the Securities and Exchange Commission were released Wednesday, with climate- and ESG-related risks unsurprisingly among areas that will receive enhanced focus.