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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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2022 Investment Management Conference


Time to Read: 1 minutes Practices: Asset Management, Investment Management

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Click here to read the full Memorandum.

Ropes & Gray’s memorandum summarizing the 2022 Investment Management Conference sponsored by the Investment Company Institute is available above. The Conference included sessions that discussed the following industry and regulatory developments, among others:

  • Keynote Remarks by William A. Birdthistle, Director, Division of Investment Management, Securities and Exchange Commission and a discussion with senior Division of Investment Management personnel
  • Trends in specialized products including ETFs, CEFs (including exchange-listed closed-end funds, interval funds and tender offer funds) and other investment vehicles
  • The legislative outlook in an election year
  • Innovations in financial offerings for retail investors
  • A review of developments in mutual fund civil litigation
  • Board practices and regulatory developments affecting fund directors

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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