SEC Lists Examination Priorities for 2021


The Securities & Exchange Commission has released its list of 2021 examination priorities for broker-dealers and investment advisers, with a heap of attention paid to business continuity, climate change disruptions, and how the pandemic has amplified risks to cybersecurity and supervision. The SEC’s Division of Examinations (previously known as the Office of Compliance Inspections &…

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Covid-19’s Threat to Business Continuity


If you ever want to see one of the most maddening side effects of Covid-19, read a sadly superb story from the New York Times this weekend examining the troubles of the U.S. food industry. It paints a powerful picture of the supply chain and business continuity risks many companies will face in months and…

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The Down-Slope Risks of COVID-19


We are all frightened by the menace that COVID-19 is emerging to be — in the United States and overseas; in the public sector and private enterprise; at home and at work. So today let’s first begin with an uplifting video from Hubei, China, about what life can look like on the far side of…

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