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SEC required to adopt Regulation S-ID by a provision in 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, amended provision of Fair Credit Reporting Act of 1970 FCRA to add SEC and Commodity Futures Trading Commission to federal agencies must have red flag rules
On March 30, 2022, the SEC's Division of Examinations (the "Division") released its 2022 examination priorities (the "Priorities").
On February 9, 2022, the Securities Exchange Commission ("SEC" or "Commission") voted 3-1 to propose rules, forms and amendments concerning cybersecurity risk management...
SEC Enforcement and Exams Likely to Focus More on Private Funds in the New Administration For the next several weeks and months, intense focus will be trained on determining the priorities of the Biden administration. We believe that at the Securities and Exchange Commission (“SEC”), the new administration will ramp up examinations and investigations of investment advisers, and specifically advisers to private funds. The industry has certainly been in growth mode. By the SEC’s own calculations, the number of private funds increased by nearly one third during the past four years (from 26...