The SEC Division of Examinations outlined its annual priorities for 2023. The new report includes a heightened focus on RIA regulation, private investment fund RIAs, ESG-focused investing, Regulation Best Interest for broker-dealers and the fiduciary standard for advisers.
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The SEC Division of Examinations issued its annual priorities, which include an increased focus on private investment funds, ESG risks, cybersecurity and operational redundancy, and crypto assets.
SEC Chair Jay Clayton outlined progress made on the agency's 2018 rulemaking agenda, key initiatives planned for 2019 including review of the proxy process, and risks associated with Brexit, the LIBOR transition and cybersecurity.
In testimony before the U.S. House Committee on Financial Services, SEC Division of Investment Management Director Dalia Blass outlined the underlying aims of the Division's policy initiatives.
SEC Chair Jay Clayton articulated narrowly focused regulatory goals for inclusion in the federal government's Unified Agenda.