The SEC’s Response to the Coronavirus Pandemic and Its 2020 Exam Priorities

In the face of the evolving coronavirus pandemic, the SEC remains committed to protecting investors, preserving market integrity and ensuring that investment advisers operate in compliance with all applicable regulations. A recent program explored the SEC’s response to the pandemic and key pandemic-related risks; the Form CRS compliance deadline; examination priorities for 2020; common exam deficiencies; and ways advisers can prepare for SEC exams in the coming months. Matt Ahlstrand, vice president at SS&C Advent, moderated the program, which featured Krista Zipfel, director at Focus 1 Associates. This article summarizes her insights. For additional commentary from Zipfel, see “A Checklist for Advisers to Ensure Compliance With the Advertising Rule” (Dec. 12, 2019). See also “Key Considerations for Fund Managers Responding to the Coronavirus Outbreak” (Mar. 26, 2020).

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