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SEC Proposes to Amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

On March 15, 2023, the SEC issued a release (the “Release”) containing proposed amendments to Regulation S-P (the “Proposals”) that, if adopted, would require broker-dealers, registered investment companies (with business development companies, “registered funds”) and investment advisers to adopt written policies and procedures creating an incident response program to deal with unauthorized access to customer information, including procedures for notifying persons affected by the incident within 30 days. The Proposals would be in addition to the SEC’s other pending cybersecurity regulations.

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2019 Mutual Funds and Investment Management Conference


Time to Read: 1 minutes Practices: Asset Management

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Ropes & Gray’s memorandum summarizing the 2019 Mutual Funds and Investment Management Conference sponsored by the Investment Company Institute and the Federal Bar Association is available above. The Conference included sessions that discussed the following industry and regulatory developments, among others:

  • Keynote Remarks by SEC Director of the Division of Investment Management Dalia Blass & Commissioner Elad Roisman.
  • Near-term initiatives of the SEC that include investor protections and reexamining proxy voting requirements.
  • The SEC’s current examination and enforcement focus areas.
  • Cybersecurity.
  • Liquidity risk management.
  • A review of developments in mutual fund civil litigation.
  • New operational and investment challenges affected by EU regulations.

If you would like to discuss a specific session, or any other aspect of the conference, please contact any of the lawyers listed on the back cover of the memorandum or the Ropes & Gray lawyer with whom you regularly work.

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