SEC Division of Examinations: 2024 Priorities
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Articles, research and insights.
Article - 11 minutes read
Key Focus Areas From 2021 SEC and FINRA Priorities Reports
FINRA and the SEC published their annual Risk Monitoring and Examination Reports highlighting the focus areas that member firms will be evaluated on this year. We will cover several focus areas as well as fines that the two regulators levied on their members in Q4 2020, and discuss trends for 2021.
Article - 9 minutes read
ESG Under The Biden Administration
Publicly traded companies are expected to provide comprehensive sustainability disclosures.
Article - 8 minutes read
Retail players: Equip buildings with electric charging stations
Changes to the Construction Code were passed at the end of 2019. They include the obligations to pre-equip and equip parking lots in electric vehicle charging infrastructure (EVCI) are reinforced by 2021 for new buildings, and by 2025 for existing buildings.
Article - 10 minutes read
An Update on Data Privacy Laws in the APAC Region in 2021
Beyond the pandemic, we continue to witness major changes in the APAC’s data privacy landscape. This year alone, new regulations are expected to be drafted or implemented in APAC countries. With an increasing need for regulation to protect data privacy, what should we expect to change in 2021?
Article - 7 minutes read
Automated Reconciliation on Identity Access Management
In this article, we address questions that came along with the rising demand to automate reconciliation processes, as well as discuss how you can similarly adopt a robust, effective, and efficient automated reconciliation model in your organization today.
Article - 14 minutes read
Disruptive Fintech during the Covid 19 pandemic
Traditional financial services are constantly disrupted with the acceleration of technology. Fintech evolution has shifted client banking preferences to a more convenient, easily accessible digital experience. Sia Partners highlights where Fintechs have caused disruption in traditional banks.