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Commentary by Michael A. Kleinman

The SEC proposed amendments to regulations on consumer financial privacy and information safeguards that would, among other things, require firms to implement written incident response plans and provide data breach notifications to customers.

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.