U.S. securities regulator names crypto, ESG among 2022 exam priorities

The seal of the U.S. Securities and Change Fee (SEC) is seen at their headquarters in Washington, D.C., U.S., Could 12, 2021. REUTERS/Andrew Kelly/File Picture

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WASHINGTON, March 30 (Reuters) – The U.S. Securities and Change Fee (SEC) on Wednesday flagged crypto-assets, info safety, the personal fund sector and environmental, social and governance points among its examination priorities in 2022 for market members similar to broker-dealers and funding advisers.

The SEC’s examinations division, tasked with monitoring dangers and making certain investor safety, may even evaluate whether or not funds’ proxy votes align with their ESG-related disclosures and mandates, and whether or not there are misrepresentations of ESG elements being thought-about, the company stated in a press release.

The company’s exam outlook highlighted areas which have emerged as priorities for the highest U.S. markets regulator since Democrats took the helm in 2021, from local weather and crypto to broker-dealers’ procedures to deal with phishing and different cyber assaults.

The SEC’s examiners will give attention to custody preparations for crypto belongings and can assess any gross sales, suggestions, recommendation and buying and selling of crypto, the SEC stated.

The company additionally focused personal funds in its outlook for 2022 exams, with plans to evaluate funding advisers’ portfolio methods, threat administration, disclosures and conflicts of curiosity.

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Reporting by Chris Prentice
Modifying by Chris Reese and Cynthia Osterman

Our Requirements: The Thomson Reuters Belief Rules.

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