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.
At the SEC Asset Management Advisory Committee meeting, SEC officials reviewed asset management priorities under regulatory consideration.
CFTC Commissioner Dawn Stump asserted that market participants need more clarity on the regulatory authorities of federal agencies with respect to cryptocurrencies and digital assets.
The OCC outlined its bank supervision operating plan for fiscal year 2022. The plan serves as guidance to staff members in their supervision of banking entities.