SEC Exam and Enforcement Priorities: ESG, New Marketing Rule and Other Potential Focuses (Part Two of Two)

Seward & Kissel’s Seventh Annual Private Funds Forum included a panel of speakers who explored the current SEC examination and enforcement climate as it affects private fund advisers. The discussion was moderated by Seward & Kissel partner Christopher Riccardi and featured partners Debra Franzese and Kevin Neubauer, along with counsel Daniel Bresler. This second article in a two-part series presents the speakers’ insights on the SEC’s interest in responsible investing and the new marketing rule, as well as other potential areas for SEC enforcement activity. The first article reviewed the key takeaways from the presentation on the agency’s continuing focus on cybersecurity, business continuity plans and conflicts of interest. See our two-part coverage of the SEC’s 2021 exam priorities: “New and Emerging Focus Areas” (Apr. 15, 2021); and “Perennial Focus Areas for Private Fund Managers” (Apr. 22, 2021).

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