Kelly Koscuiszka

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Articles

SEC Adopts Information Security And Notification Amendments To Regulation S-P

Jun 14, 2024 | mondaq.com | William J. Barbera |Kelly Koscuiszka |Philip J. Bezanson |Tarik M. Shah

On May 16, 2024, the Securities and Exchange Commission ("SEC") announced that it had adopted amendments ("Amendments")1 to Regulation S-P ("Reg S-P")2. The SEC explained that the Amendments represent an effort to "modernize and enhance" rules designed to protect consumers' nonpublic information and privacy.
SEC Targets Certain Proprietary Trading Firms And Private Funds With Expanded

Feb 29, 2024 | mondaq.com | William J. Barbera |Jennifer Dunn |Marc E. Elovitz |Kelly Koscuiszka

On Feb. 6, 2024, the US Securities and Exchange Commission ("SEC" or "Commission") adopted new Rules 3a5‑4 and 3a44‑2 (together, "Final Rules")1 under the Exchange Act to further define what it means to be "engaged in the business" of buying and selling securities for one's own account and, as such, required to register with the SEC as a "dealer" or "government securities dealer," as applicable (collectively, a "Dealer").
The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?

Aug 2, 2023 | lexology.com | Christopher S. Avellaneda |Marc E. Elovitz |Kelly Koscuiszka

Prompted by the “gamification” of investment services, the Securities and Exchange Commission (“SEC”) proposed rules and amendments on July 26, 2023, that could reach a broad universe of existing and future technologies and could threaten to make the use of artificial intelligence (“AI”) impractical for investment advisers and broker-dealers.
SEC Marketing Rule Update: Additional Focus Areas In Examinations

Jun 27, 2023 | mondaq.com | Christopher S. Avellaneda |Allison Bernbach |Marc E. Elovitz |Kelly Koscuiszka

On June 8, 2023, the staff ("Staff") of the SEC's Division of Examinations ("Division") released a Risk Alert 1 ("Risk Alert"), alerting registered investment advisers ("Advisers") to additional areas of Staff focus when reviewing Advisers' compliance with Rule 206(4)-1 ("Marketing Rule") during SEC examinations.
SEC Form PF Reporting Changes Effective Dec. 11, 2023, And June 11, 2024

Jun 23, 2023 | mondaq.com | Christopher S. Avellaneda |Allison Bernbach |Marc E. Elovitz |Kelly Koscuiszka

The U.S. Securities and Exchange Commission ("Commission") adopted amendments to Form PF ("Adopted Amendments"), the confidential reporting form for certain investment advisers registered with the Commission.
California Privacy Rights Act Reminder: Enforcement Begins July 1, 2023

Jun 22, 2023 | mondaq.com | Alexander Kim |Kelly Koscuiszka |Philip J. Bezanson |Steven M. Appel

As a reminder, on July 1, 2023, the California Attorney General and the newly created California Privacy Protection Agency will begin enforcing the California Privacy Rights Act ("CPRA"), the amended version of the California Consumer Privacy Act ("CCPA") that went into effect on Jan. 1. Given the CPRA's expanded scope, more private fund managers are subject to its requirements. In advance of the July 1 enforcement date, fund managers subject to the CPRA should ensure they are in compliance.
SEC Enforcement Director Highlights Focus On Private Funds

Jun 1, 2023 | mondaq.com | Charles Clark |Marc E. Elovitz |Kelly Koscuiszka |Craig Warkol

In a series of recent industry events, U.S. Securities and Exchange Commission ("SEC") Enforcement Director Gurbir Grewal continued to emphasize that the private funds industry is "a substantive priority area" for the SEC's enforcement agenda. Director Grewal's statements are consistent with the significant uptick we have observed in the examination and investigation of private funds and associated individuals.
SEC Enforcement Director Highlights Focus on Private Funds

May 25, 2023 | lexology.com | Charles Clark |Marc E. Elovitz |Kelly Koscuiszka |Craig Warkol

In a series of recent industry events, U.S. Securities and Exchange Commission (“SEC”) Enforcement Director Gurbir Grewal continued to emphasize that the private funds industry is “a substantive priority area” for the SEC’s enforcement agenda. Director Grewal’s statements are consistent with the significant uptick we have observed in the examination and investigation of private funds and associated individuals.