Sasha Burstein

K&L Gates LLP

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Latest Posts › Securities and Exchange Commission (SEC)

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SEC Finalizes Amendments to Regulation S-P

On 16 May 2024, the Securities and Exchange Commission (SEC) adopted amendments (amendments) to Regulation S-P representing the first major changes to Regulation S-P since its initial adoption in 2000....more

6/11/2024 / Broker-Dealer , Financial Institutions , Financial Services Industry , Incident Response Plans , Investment Adviser , Investment Funds , Policies and Procedures , Privacy Policy , Regulation S-P , Securities and Exchange Commission (SEC)

Financial Professional Standards of Conduct: 2019 San Francisco Investment Management Conference

AGENDA - - Background - Regulation Best Interest - Judicial Challenges to Regulation Best Interest - Form CRS - Interpretation of Investment Adviser’s Fiduciary Duty - Interpretation of the “Solely Incidental” Prong...more

12/10/2019 / Broker-Dealer , Fiduciary Duty , Form CRS , Investment Adviser , Investment Advisers Act of 1940 , Regulation Best Interest , Securities and Exchange Commission (SEC) , Standard of Conduct

SEC Issues Risk Alert on Cash Solicitation Rule

The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert on October 31, 2018 identifying the most frequent deficiencies that OCIE staff (the “Staff”)...more

1/16/2019 / Cash Solicitation Rule , Disclosure Requirements , Investment Adviser , OCIE , Registered Investment Advisors , Risk Alert , Securities and Exchange Commission (SEC)

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