Nicholas Tarnowski

Nicholas Tarnowski

Herbert Smith Freehills Kramer

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SEC Division of Examinations Announces 2021 Examination Priorities for Registered Funds and Their Advisers

On March 3, 2021, the Division of Examinations (the Division) of the Securities and Exchange Commission (SEC) issued its 2021 examination priorities. The Division noted its continued emphasis on the protection of retail...more

3/16/2021  /  Anti-Money Laundering , BSA/AML , ETFs , Investment Adviser , Libor , Retail Investors , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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