SEC Director Peter Driscoll described the regulatory and operational challenges of delivering financial services during the pandemic, the issuance of alerts on pandemic and emergent risks (including on cybersecurity), and the roll out of Regulation Best Interest.
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The North American Securities Administrators Association urged investors to be aware of online investment schemes involving precious metals, cryptocurrencies, promissory notes and foreign exchange markets.
Office of New York Attorney General Letitia James issued investor and industry alerts warning of the "extreme" risk associated with investment in virtual currencies.
The SEC Division of Examinations' 2021 priorities include an enhanced focus on climate and environmental, social and governance-related risks, conflicts of interest for brokers and investment advisers, and FinTech-related risks.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.