Top of Mind Compliance Issues for 2021

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We’ve identified 12 issues, in no particular order, that we think should be top of mind for management and compliance professionals this year. In this issue of Compliance Insights, we offer brief commentary on each of these topics, which we will address in more detail in subsequent issues. Bear in mind that the issues we selected do not apply equally to all types of financial institutions and that limiting the list to 12 issues wasn’t easy. Consistent with advice we would give our clients, expect us to modify the list as regulatory concerns and industry priorities evolve. Finally, while we think many of these issues are relevant outside of the borders of the United States, this list is focused primarily on issues facing U.S. financial services providers.

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