On March 3, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (Division), formerly known as the Office of Compliance Inspections and Examinations, announced its examination priorities for fiscal...more
In a letter dated October 29, 2020, Linda A. Lacewell, superintendent of the New York State Department of Financial Services (NYDFS), called on New York state-regulated financial institutions to integrate financial risks from...more