The SEC Under the Biden Administration: Ten Areas to Watch

The SEC under the administration of President Joseph Biden will continue – and likely expand – its examination and enforcement efforts, including its scrutiny of private funds, according to a recent ACA Compliance Group (ACA) briefing. The program featured Carlo di Florio, ACA partner and chief services officer and former Director of the SEC’s Division of Examinations – formerly the Office of Compliance Inspections and Examinations, or OCIE; Joshua Broaded, ACA partner and co‑head of U.S. compliance; Karen Foley, partner at ACA Performance Services, LLC; and Dani Williams, principal consultant at ACA. This article distills the key takeaways from the presentation, including ten areas to watch on the regulatory front and steps CCO should take. See “Former OCIE Director Carlo di Florio Discusses His Time at the SEC and FINRA (Part One of Two)” (Nov. 14, 2019).

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