Charu A. Chandrasekhar is a litigation partner based in the New York office and a member of the firm’s White Collar & Regulatory Defense and ...
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Publications
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Top 10 SEC Cyber/AI Blog Posts for 2024
12 December 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Eric T. Juergens
, Arian M. June
, Robert B. Kaplan
, Erez Liebermann
, Sheena Paul
, Benjamin R. Pedersen
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Paul M. Rodel
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Matt Kelly
, Anna Moody
, Stephan J. Schlegelmilch
, Johanna N. Skrzypczyk
, Suchita Mandavilli Brundage
, Kelly Donoghue
, Andreas A. Glimenakis
, Alice Gu
, John Jacob
, Gabriel A. Kohan
, Talia Lorch
, Ciera Mandelsberg
, Noah L. Schwartz
, Ned Terrace
, Mengyi Xu
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Managing AI-Related Risks Associated with Vendors
December 2024
Charu A. Chandrasekhar
, Avi Gesser
, Kristin A. Snyder
, Matt Kelly
, Johanna N. Skrzypczyk
, Joshua A. Goland
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Private Equity Report Fall 2024, Vol 24, No 3
December 2024
Megan K. Bannigan
, Ezra Borut
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Peter J. Irwin
, Robert B. Kaplan
, Rafael Kariyev
, Julie M. Riewe
, Kevin M. Schmidt
, Kristin A. Snyder
, Rick Sofield
, Jared I. Kagan
, Nick S. Kaluk III
, Matt Kelly
, Johanna N. Skrzypczyk
, Andrea Bell
, Jordan Corrente Beck
, Clara Correa
, Jay E. Evans
, Joshua A. Goland
, Samuel D. Krawiecz
, Weichi Liu
, Emily MacKay
, Elliott Tuchman
, John M. Satira
, Sasha Semach
, Chris Zheng
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SEC Private Fund Adviser Enforcement FY 2024 Highlights
December 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Sasha Semach
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SEC Enforcement Actions Fall Significantly As Crypto and Text Message Cases Predominate
25 November 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Mark D. Flinn
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Lauren K. Burns
, John Sullivan Baker
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U.S. Election 2024: Financial Services Outlook
November 2024
Gregory J. Lyons
, Charu A. Chandrasekhar
, Gordon Moodie
, Kristin A. Snyder
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Law360: A Look At Grewal's Record-Breaking Legacy After SEC Exit
4 November 2024
Law360
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Julie M. Riewe
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SEC Charges Four Companies for Misleading Cyber Disclosures
28 October 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Benjamin R. Pedersen
, Julie M. Riewe
, Matt Kelly
, Anna Moody
, Kelly Donoghue
, Ciera Mandelsberg
, Noah L. Schwartz
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2025 SEC Division of Examinations Priorities
24 October 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Sheena Paul
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Lauren P. Heller
, Anna Moody
, Stephan J. Schlegelmilch
, Ciera Mandelsberg
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Managing Cybersecurity Risks Arising from AI – New Guidance from the NYDFS
21 October 2024
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Marshal L. Bozzo
, Johanna N. Skrzypczyk
, Ned Terrace
, Mengyi Xu
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SEC Announces Settled Charges Against Rimar Capital Entities and Owner for Defrauding Investors in “AI Washing” Scheme
11 October 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Arian M. June
, Robert B. Kaplan
, Benjamin R. Pedersen
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mark D. Flinn
, Matt Kelly
, Anna Moody
, Sofia Squatriti Muno
, Cameron B. Wolfe
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Recent Settled Actions Reiterate SEC’s Broad Interpretation of
Rule 21F-17(a) Whistleblower Impediments
23 September 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Jyotin Hamid
, Arian M. June
, Robert B. Kaplan
, Jonathan F. Lewis
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Tricia Bozyk Sherno
, Sharon Shaji
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Internal Accounting Controls Claim Rejected in SolarWinds Case
23 July 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Benjamin R. Pedersen
, Julie M. Riewe
, Paul M. Rodel
, Matt Kelly
, Anna Moody
, Alice Gu
, Talia Lorch
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FINRA Issues Brief Reminder on Managing Generative AI Risk in Supervisory Tools
1 July 2024
Charu A. Chandrasekhar
, Avi Gesser
, Jeff Robins
, Kristin A. Snyder
, Matt Kelly
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Supreme Court Punches SEC APs Right in the Seventh Amendment
28 June 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Mark D. Flinn
, Suzanne Zakaria
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Incident Response Plans Are Now Accounting Controls? SEC Brings First-Ever Settled Cybersecurity Internal Controls Charges
20 June 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Benjamin R. Pedersen
, Julie M. Riewe
, Matt Kelly
, Anna Moody
, Andreas A. Glimenakis
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SEC Targets AI Washing in Private Capital Markets: “Old School Fraud Using New School Buzzwords”
14 June 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Julie M. Riewe
, Kristin A. Snyder
, Matt Kelly
, Suchita Mandavilli Brundage
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Fifth Circuit Banishes SEC Private Fund Adviser Rules to a Galaxy PFAR, PFAR Away…
6 June 2024
Jonathan Adler
, Lorna Bowen
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Shannon Rose Selden
, Rebecca F. Silberstein
, Kristin A. Snyder
, Justin Storms
, Lauren P. Heller
, Anna Moody
, Sheena Paul
, Christine Liu
, Caroline H. Wallace
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The SEC Adopts Significant Cybersecurity Amendments to Reg S-P
17 May 2024
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Anna Moody
, Sheena Paul
, Johanna N. Skrzypczyk
, Suchita Mandavilli Brundage
, Ned Terrace
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Debevoise Data Blog: Top 10 Cybersecurity Measures for Deploying AI Systems from the NSA, FBI and CISA
2 May 2024
Debevoise Data Blog
Charu A. Chandrasekhar
, Avi Gesser
, Erez Liebermann
, Stephanie Cipolla
, Noah L. Schwartz
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Treasury’s Report on AI (Part 1) – Governance and Risk Management
29 April 2024
Charu A. Chandrasekhar
, Avi Gesser
, Erez Liebermann
, Matt Kelly
, Johanna N. Skrzypczyk
, Sharon Shaji
, Annabella M. Waszkiewicz
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Preparing for AI Whistleblowers
25 April 2024
Charu A. Chandrasekhar
, Avi Gesser
, Arian M. June
, Cooper Yoo
, Sharon Shaji
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Law360: What Cos. Are Reporting Under New SEC Cybersecurity Rule
22 April 2024
Law360
Paul M. Rodel
, Charu A. Chandrasekhar
, Erez Liebermann
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The Increasing Risks of AI Washing and Securities Fraud Class Actions
4 April 2024
Charu A. Chandrasekhar
, Avi Gesser
, Maeve O'Connor
, Jim Pastore
, Kristin A. Snyder
, Matt Kelly
, Gabriel A. Kohan
, Alexandra N. Mogul
, Joshua A. Goland
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Private Funds CFO: Debevoise on preparing for cybersecurity rules
2 April 2024
Private Funds CFO
Charu A. Chandrasekhar
, Kristin A. Snyder
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100 Days of Cybersecurity Incident Reporting on Form 8-K: Lessons Learned
28 March 2024
Charu A. Chandrasekhar
, Erez Liebermann
, Benjamin R. Pedersen
, Paul M. Rodel
, Matt Kelly
, Anna Moody
, John Jacob
, Kelly Donoghue
, Talia Lorch
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Complying with New York’s Recently Adopted Employee Privacy Law
28 March 2024
Helen V. Cantwell
, Charu A. Chandrasekhar
, Jyotin Hamid
, Arian M. June
, Tricia Bozyk Sherno
, Johanna N. Skrzypczyk
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AI Enforcement Starts with Washing: The SEC Charges its First AI Fraud Cases
19 March 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Matt Kelly
, Anna Moody
, Stephan J. Schlegelmilch
, Gabriel A. Kohan
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30 Days to Form ADV: Have You Reviewed Your AI Disclosures?
26 February 2024
Charu A. Chandrasekhar
, Avi Gesser
, Marc Ponchione
, Julie M. Riewe
, Kristin A. Snyder
, Matt Kelly
, Sheena Paul
, Ned Terrace
, Mengyi Xu
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Private Equity Report: 2024 Outlook
February 2024
Christopher Anthony
, Katherine Ashton
, Andrew L. Bab
, Paul S. Bird
, Dominic Blaxill
, Ezra Borut
, Geoffrey P. Burgess
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Jennifer L. Chu
, Luke Dembosky
, E. Drew Dutton
, Jane Engelhardt
, Avi Gesser
, Andrew J. Gershon
, Nia I. Goodman
, David Grosgold
, Jyotin Hamid
, Ted Hassi
, Morgan J. Hayes
, Peter J. Irwin
, Eric T. Juergens
, Robert B. Kaplan
, M. Natasha Labovitz
, Jonathan F. Lewis
, Sidney P. Levinson
, Andrew M. Levine
, Erez Liebermann
, Timothy McIver
, Maura Kathleen Monaghan
, Edwin Northover
, Brett M. Novick
, Marc Ponchione
, Ryan T. Rafferty
, Natalie L. Reid
, Julie M. Riewe
, Kevin Rinker
, Samantha J. Rowe
, Paul D. Rubin
, Michael Schaper
, Kevin M. Schmidt
, Scott B. Selinger
, Aly Love (f/k/a Simons)
, Thomas Smith
, Kristin A. Snyder
, Steven J. Slutzky
, Ramya S. Tiller
, Patricia Volhard
, Erica S. Weisgerber
, Kyra K. Bromley
, Alison E. Buckley-Serfass
, Jennifer R. Cestaro
, Stuart Hammer
, Jin-Hyuk Jang
, Wen-Wei Lai
, Michael P. McGuigan
, Sheena Paul
, Melissa Runsten
, Tricia Bozyk Sherno
, Ulysses Smith
, Sergio Torres
, Elie J. Worenklein
, Adam Aukland-Peck
, Josephine Chen
, Perpétua B. Chéry
, Paul Eastham
, Isabelle Glimcher
, Yiran Ji
, Maryam Kanna
, Leah Martin
, Sophie Michalski
, Diana Moise
, David J. Swiedler
, Perri M. Weinstein
, Nathan R. Hogan
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SEC Brings Whistleblower Action Over Retail Client Agreements
25 January 2024
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Cooper Yoo
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NYU PCCE: Real-Time Deepfakes May Necessitate Enhancements to Wire Transfer BEC Policies
16 January 2024
NYU PCCE
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Matt Kelly
, Karen Joo
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Law360: SEC, NY Cybersecurity Rules Create Complexity For Insurers
19 December 2023
Law360
Avi Gesser
, Charu A. Chandrasekhar
, Benjamin R. Pedersen
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SEC Cybersecurity Rules: FBI, DOJ and SEC Publish Guidance on Disclosure Delays
18 December 2023
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Benjamin R. Pedersen
, Paul M. Rodel
, Matt Kelly
, Alice Gu
, Paul D. Lowry
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NYU PCCE: Resisting Hindsight Bias: A Proposed Framework for CISO Liability
15 December 2023
NYU PCCE
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Julie M. Riewe
, Anna Moody
, Andreas A. Glimenakis
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Resisting Hindsight Bias: A Proposed Framework for CISO Liability
11 December 2023
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Julie M. Riewe
, Anna Moody
, Andreas A. Glimenakis
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Giving AI Governance a Risk-Based Approach
November 2023
Avi Gesser
, Charu A. Chandrasekhar
, Kristin A. Snyder
, Sarah Wolf
, Matt Kelly
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Private Equity Report Fall 2023, Vol 23, No 3
November 2023
Dominic Blaxill
, Michael Bolotin
, Geoffrey P. Burgess
, Charu A. Chandrasekhar
, Jennifer L. Chu
, Matthew Dickman
, Avi Gesser
, Gregory V. Gooding
, Morgan J. Hayes
, Sally Bergmann Hardesty
, Eric T. Juergens
, Frank Mitchell
, Brett M. Novick
, Benjamin R. Pedersen
, William D. Regner
, Edward M. Rishty
, Michael Schaper
, Kevin M. Schmidt
, Kristin A. Snyder
, Katherine Durnan Taylor
, Ramya S. Tiller
, Robert T. Dura
, Caitlin Gibson
, Stuart Hammer
, Matt Kelly
, Sarah Wolf
, Victoria G. J. Brown
, Matthew Stromecki
, Adam Silverwood
, Edoardo Troina
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NYU PCCE: Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat
29 November 2023
NYU PCCE
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Matthew E. Kaplan
, Erez Liebermann
, Benjamin R. Pedersen
, Steven J. Slutzky
, Jonathan R. Tuttle
, Matt Kelly
, Kelly Donoghue
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Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat
20 November 2023
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Matthew E. Kaplan
, Erez Liebermann
, Benjamin R. Pedersen
, Steven J. Slutzky
, Jonathan R. Tuttle
, Matt Kelly
, Kelly Donoghue
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SEC’s Division of Enforcement Year-End Results Reflect Continuing Aggressive Approach to Enforcement and Remedies
20 November 2023
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Mark D. Flinn
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A Summary of the Final Amendments to the NYDFS Cyber Rules
15 November 2023
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Caroline N. Swett
, Johanna N. Skrzypczyk
, Stephanie D. Thomas
, Joshua A. Goland
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2024 SEC Division of Examinations Priorities
23 October 2023
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Scott Woods
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NYU Compliance & Enforcement: SEC Proposes Rule to Eliminate or Neutralize Conflicts in the Use of “Predictive Data Analytics” Technologies
29 August 2023
NYU Compliance & Enforcement
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Jeff Robins
, Matt Kelly
, Gary E. Murphy
, Jarrett Lewis
, Robert B. Kaplan
, Marc Ponchione
, Sheena Paul
, Catherine Morrison
, Julie M. Riewe
, Kristin A. Snyder
, Mengyi Xu
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Directors and Boards: Board Responsibility for AI Risk Oversight
15 August 2023
Directors and Boards
William D. Regner
, Avi Gesser
, Charu A. Chandrasekhar
, Mengyi Xu
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Insurance Industry Corporate Governance Newsletter
August 2023
Charu A. Chandrasekhar
, Eric Dinallo
, Avi Gesser
, Benjamin R. Pedersen
, Nicholas F. Potter
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SEC Proposes Rule to Eliminate or Neutralize Conflicts in the Use of “Predictive Data Analytics” Technologies
14 August 2023
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Matt Kelly
, Gary E. Murphy
, Sheena Paul
, Jarrett Lewis
, Catherine Morrison
, Mengyi Xu
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SEC and CFTC Continue Targeting Off-Channel Communications at Financial Institutions
10 August 2023
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Andrew M. Levine
, Julie M. Riewe
, Jonathan R. Tuttle
, Kristin A. Snyder
, Philip A. Fortino
, Stephan J. Schlegelmilch
, Alexa Busser Lopez
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SEC Adopts New Cybersecurity Rules for Issuers – Part 2 Key Takeaways
7 August 2023
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Matthew E. Kaplan
, Erez Liebermann
, Benjamin R. Pedersen
, Paul M. Rodel
, Steven J. Slutzky
, Matt Kelly
, Kelly Donoghue
, John Jacob
, Amy Pereira
, Ned Terrace
, Mengyi Xu
, Chris Duff
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NYU Compliance & Enforcement: SEC Adopts New Cybersecurity Rules for Issuers
31 July 2023
NYU Compliance & Enforcement
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Matthew E. Kaplan
, Erez Liebermann
, Benjamin R. Pedersen
, Paul M. Rodel
, Steven J. Slutzky
, Matt Kelly
, Kelly Donoghue
, John Jacob
, Amy Pereira
, Mengyi Xu
, Chris Duff
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SEC Adopts New Cybersecurity Rules for Issuers
27 July 2023
Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Matthew E. Kaplan
, Erez Liebermann
, Benjamin R. Pedersen
, Paul M. Rodel
, Steven J. Slutzky
, Matt Kelly
, Kelly Donoghue
, John Jacob
, Amy Pereira
, Mengyi Xu
, Chris Duff
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SEC Adopts Rules to Prohibit Fraud in Security-Based Swaps and Exertion of Undue Influence Over SBS CCOs, and Reopens Comment Period for Large SBS Position Reporting
29 June 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Philip A. Fortino
, Stephan J. Schlegelmilch
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NYU Compliance & Enforcement: Lessons from The Financial Stability Board’s Report on Cyber Incident Reporting
2 June 2023
NYU Compliance & Enforcement
Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Kristin A. Snyder
, Charu A. Chandrasekhar
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Generative AI: Risks and Considerations for Private Equity
May 2023
Avi Gesser
, Kristin A. Snyder
, Charu A. Chandrasekhar
, Matt Kelly
, Suchita Mandavilli Brundage
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Private Equity Report Spring 2023, Vol 23, No 1
May 2023
Michael Bolotin
, Jennifer L. Chu
, Avi Gesser
, Meir D. Katz
, Henry Lebowitz
, Marc Ponchione
, Kevin M. Schmidt
, Shannon Rose Selden
, Scott B. Selinger
, Kristin A. Snyder
, Matthew J. Sorensen
, Charu A. Chandrasekhar
, Matt Kelly
, Caroline P. Geiger
, Sheena Paul
, Keith J. Slattery
, Suchita Mandavilli Brundage
, Tigist Kassahun
, Dominique Trudelle
, Massy Vainshtein
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Compliance & Enforcement: SEC Adopts Share Repurchase Disclosure Rules
19 May 2023
Compliance & Enforcement
Eric T. Juergens
, Matthew E. Kaplan
, Nicholas P. Pellicani
, Paul M. Rodel
, Steven J. Slutzky
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
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SEC Adopts Share Repurchase Disclosure Rules
12 May 2023
Eric T. Juergens
, Matthew E. Kaplan
, Nicholas P. Pellicani
, Paul M. Rodel
, Steven J. Slutzky
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
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SEC Staff Bulletin Provides Detailed Guidance for Broker-Dealers and Investment Advisers on the Care Obligations to Retail Investors
3 May 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Philip A. Fortino
, Sheena Paul
, Stephan J. Schlegelmilch
, Maryam Kanna
-
NYU Compliance & Enforcement: A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations
30 March 2023
NYU Compliance & Enforcement
Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Charu A. Chandrasekhar
, Sheena Paul
, Suchita Mandavilli Brundage
, Mengyi Xu
, Ned Terrace
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FCPA Update March 2023
30 March 2023
Kara Brockmeyer
, Andrew M. Levine
, David A. O'Neil
, Kristin A. Snyder
, Bruce E. Yannett
, Charu A. Chandrasekhar
, Andreas A. Glimenakis
, Joseph Ptomey
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A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations
20 March 2023
Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Charu A. Chandrasekhar
, Sheena Paul
, Suchita Mandavilli Brundage
, Mengyi Xu
, Ned Terrace
-
Preparing for the SEC’s Cybersecurity Rules for Registered Investment Advisers, Registered Investment Companies, and Business Development Companies
13 March 2023
Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Julie M. Riewe
, Kristin A. Snyder
, Charu A. Chandrasekhar
, Suchita Mandavilli Brundage
, Jarrett Lewis
-
DOJ Issues Trio of Updates that Further Heighten Compliance Expectations, Particularly Involving Off-System Communications and Compensation Systems
6 March 2023
Kara Brockmeyer
, Andrew M. Levine
, David A. O'Neil
, Kristin A. Snyder
, Bruce E. Yannett
, Charu A. Chandrasekhar
, Andreas A. Glimenakis
, Joseph Ptomey
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2023 SEC Division of Examinations Priorities
14 February 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Charu A. Chandrasekhar
, Philip A. Fortino
, Sheena Paul
, Stephan J. Schlegelmilch
, Maryam Kanna
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The Review of Securities & Commodities Regulation: The SEC’s Use of Data Analytics in Examinations and Enforcement Investigations
25 January 2023
The Review of Securities & Commodities Regulation
Andrew J. Ceresney
, Kristin A. Snyder
, Charu A. Chandrasekhar
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Report Underscores FINRA’s Focus on Cybersecurity
18 January 2023
Avi Gesser
, Erez Liebermann
, Kristin A. Snyder
, Charu A. Chandrasekhar
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SEC Proposes Equity Market Structure Revamp and Regulation Best Execution
3 January 2023
Andrew J. Ceresney
, Julie M. Riewe
, Jeff Robins
, Charu A. Chandrasekhar
, Catherine Morrison
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Recent SEC EXAMS Risk Alert Highlights Key Considerations for Reg S-ID Compliance
15 December 2022
Avi Gesser
, Erez Liebermann
, Kristin A. Snyder
, Charu A. Chandrasekhar
, Noah L. Schwartz
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FCPA Update November 2022
2 December 2022
Kara Brockmeyer
, Andrew M. Levine
, Philip Rohlik
, Joseph Ptomey
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Bailey K. Crawford
, Mark D. Flinn
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SEC’s Division of Enforcement Year-End Results Provide Insight into Record-Breaking Year in Monetary Sanctions, Novel Actions, and Evolving Enforcement Agenda
21 November 2022
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
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SEC Cybersecurity Update: Chair Gensler Offers Insight into Upcoming Regulation
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NYU Compliance & Enforcement Blog: Likely Policy Priorities of the Gensler SEC
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2021 SEC Division of Examinations Priorities
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SEC Information Requests: UK Privacy Regulator Clarifies Position
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