A CPO/CTA, operating a pool that invests in digital assets, settled CFTC charges for late and inaccurate statements to pool participants and NFA, and related supervisory violations.

Comments are due by May 22, 2023 on an SEC proposal that would implement cybersecurity risk management and reporting requirements.

SEC Director of the Division of Investment Management William Birdthistle described three trends in the asset management industry that require the SEC's "far-reaching vigilance and prompt concentration."

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 reopened the comment period on proposed cybersecurity risk management and reporting requirements.