Ropes & Gray Hosts Webinar on 2021 Examination and Enforcement Priorities for Asset Managers

The SEC’s Division of Examination’s recently published priorities confirm an expanded focus on ESG in manager decision-making, increased antitrust enforcement and scrutiny, and the use of scientific analytics to target enforcement activity, among other priorities. On April 13, Ropes & Gray hosted a webinar to review current exam and enforcement priorities, the challenges they pose and how registrants can best position themselves to respond to regulatory demands. 

The event was hosted by asset management partners Paulita Pike and Adam Schlichtmann, who also led our discussion of ESG as an exam/enforcement priority. 

Tech transactions partner Ed Black discussed the implications of the priorities as they pertain to analytic science as a targeting tool, sourcing alternative data, robo-advisors and cybersecurity compliance.

Litigation & enforcement partner Samer Musallam discussed expectations around increased antitrust enforcement and scrutiny in the areas of fintech M&A, digital assets and blockchain technology, and financial markets, as well as the implications for managers.

Litigation & enforcement partner Eva Carman offered practical insight into what advisers need to know about the latest fiduciary duty hot topics, including the SEC’s current approach to fee and expenses issues, valuation, data breaches, plus insider/outsider trading. 

Click here to watch the discussion, and here to view the presentation slides.