Business & Securities Law

Investment Adviser Regulatory Update 2024-2025: Rapid-Fire Summary

Credits Available
Credit Status Total
Alaska CLE Approved 1.5 Total
Alabama CLE Approved 1.5 Total
Arkansas CLE Approved 1.5 Total
Arizona CLE Approved 1.5 Total
California CLE Approved 1.5 Total
Colorado CLE Approved 2 Total
Connecticut CLE Approved 1.5 Total
Delaware CLE Approved 1.5 Total
Florida CLE Approved 2 Total
Georgia CLE Approved 1.5 Total
Hawaii CLE Approved 1.5 Total
Idaho CLE Approved 1.5 Total
Illinois CLE Approved 1.5 Total
Kansas CLE Upon Request 1.5 Total
Kentucky CLE Upon Request 1.5 Total
Maine CLE Approved 1.5 Total
Minnesota CLE Approved 1.5 Total
Missouri CLE Approved 1.8 Total
Northern Mariana Islands CLE Approved 1.5 Total
Montana CLE Upon Request 1.5 Total
North Dakota CLE Upon Request 1.5 Total
Nebraska CLE Approved 1.5 Total
New Hampshire CLE Approved 1.5 Total
New Mexico CLE Approved 1.5 Total
Nevada CLE Approved 1.5 Total
New York CLE Approved 1.5 Total
Ohio CLE Approved 1.5 Total
Oklahoma CLE Approved 2 Total
Oregon CLE Upon Request 1.5 Total
Pennsylvania CLE Approved 1.5 Total
South Carolina CLE Approved 1.5 Total
Tennessee CLE Approved 1.5 Total
Utah CLE Approved 1.5 Total
Vermont CLE Approved 1.5 Total
Washington CLE Approved 1.5 Total
Wisconsin CLE Approved 1.5 Total
West Virginia CLE Approved 1.8 Total
OnDemand
1 hours 26 minutes
Kelly Koscuiszka
Melissa G.R. Goldstein
Georgia Haniuk
Jessica Romano
With Kelly Koscuiszka from Schulte Roth & Zabel LLP + 3 others
Recorded November 06, 2024
Product ID 99432

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Overview

Ensure Proactive Compliance With the Latest Rules

Get a fast-paced overview of critical regulatory updates shaping investment strategies and compliance tactics today. We'll cover key SEC rule changes, including the internet advisor exemption update, proposed customer identification program (CIP) requirements, expanded cybersecurity standards, and more. Stay ahead of the curve and ensure your compliance practices are up to date. Register today!

  • Discuss proactive compliance with SEC and FinCEN anti-money laundering rules proposal.
  • Tace the impact of SEC's recent private fund adviser rule.
  • Hear the latest on guarding client data and shoring up your cyber defenses.

Abbreviated Agenda

  1. Proposed SEC and FinCEN Rules on AML Programs and CIPs
  2. The Effects of the Private Fund Adviser Rules
  3. Internet Adviser Exemption Update
  4. Expanded Cybersecurity Requirements
  5. Enforcement Actions and Priorities
  6. Attempts to Regulate the Use of AI in Investment Strategies

Related Topics

Product ID 99432

Credit Details

Credits Available
Credit Status Total
Alaska CLE Approved 1.5 Total
Alabama CLE Approved 1.5 Total
Arkansas CLE Approved 1.5 Total
Arizona CLE Approved 1.5 Total
California CLE Approved 1.5 Total
Colorado CLE Approved 2 Total
Connecticut CLE Approved 1.5 Total
Delaware CLE Approved 1.5 Total
Florida CLE Approved 2 Total
Georgia CLE Approved 1.5 Total
Hawaii CLE Approved 1.5 Total
Idaho CLE Approved 1.5 Total
Illinois CLE Approved 1.5 Total
Kansas CLE Upon Request 1.5 Total
Kentucky CLE Upon Request 1.5 Total
Maine CLE Approved 1.5 Total
Minnesota CLE Approved 1.5 Total
Missouri CLE Approved 1.8 Total
Northern Mariana Islands CLE Approved 1.5 Total
Montana CLE Upon Request 1.5 Total
North Dakota CLE Upon Request 1.5 Total
Nebraska CLE Approved 1.5 Total
New Hampshire CLE Approved 1.5 Total
New Mexico CLE Approved 1.5 Total
Nevada CLE Approved 1.5 Total
New York CLE Approved 1.5 Total
Ohio CLE Approved 1.5 Total
Oklahoma CLE Approved 2 Total
Oregon CLE Upon Request 1.5 Total
Pennsylvania CLE Approved 1.5 Total
South Carolina CLE Approved 1.5 Total
Tennessee CLE Approved 1.5 Total
Utah CLE Approved 1.5 Total
Vermont CLE Approved 1.5 Total
Washington CLE Approved 1.5 Total
Wisconsin CLE Approved 1.5 Total
West Virginia CLE Approved 1.8 Total
Select Jurisdiction
CLE

Agenda

All times are shown in

  1. Investment Advisor Regulatory Update 2024-2025: Rapid-Fire Summary

    1. Proposed SEC and FinCEN Rules on AML Programs and CIPs
    2. The Effects of the Private Fund Adviser Rules
    3. Internet Adviser Exemption Update
    4. Expanded Cybersecurity Requirements
    5. Enforcement Actions and Priorities
    6. Attempts to Regulate the Use of AI in Investment Strategies

Who Should Attend

This legal update is designed for attorneys. Accountants, registered investment advisors (RIAs), exempt reporting advisors (ERAs), investment advisor compliance officers, financial planners, wealth and portfolio managers, and paralegals will also benefit.

Speakers

Kelly Koscuiszka
Kelly
Koscuiszka
Schulte Roth & Zabel LLP
Melissa G.R. Goldstein
Melissa G.R.
Goldstein
Schulte Roth & Zabel LLP
Georgia A Haniuk
Georgia A.
Haniuk
Schulte Roth & Zabel LLP
Jessica Romano
Jessica
Romano
Schulte Roth & Zabel LLP
Speaker bio
Kelly Koscuiszka

Kelly Koscuiszka

Schulte Roth & Zabel LLP
Kelly Koscuiszka

is a partner with Schulte Roth & Zabel LLP, where she is the co-chair of the Investment Management Regulatory & Compliance Group. She advises on private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940. Ms. Koscuiszka supports clients undergoing SEC examinations, including by handling deficiency letters and enforcement referrals and uses that experience to assist clients with exam preparedness. She practices in the intersection of regulation and emerging technologies, including artificial intelligence, alternative data, web scraping and electronic communications. Ms. Koscuiszka also advises clients on data privacy and cybersecurity. She earned her B.A. degree from Rutgers University and her J.D. degree from Georgetown University Law Center Advocacy Award from Georgetown University Law Center. Ms. Koscuiszka is admitted to practice in New York; U.S. Supreme Court; U.S. District Court, District of New Jersey; and U.S. District Court, Eastern and Souther districts of New York.

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Speaker bio
Melissa G.R. Goldstein

Melissa G.R. Goldstein

Schulte Roth & Zabel LLP
Melissa G.R. Goldstein

is a partner with Schulte Roth & Zabel LLP, where she advises on anti-money laundering and sanctions regulatory compliance matters. She advises banks, broker-dealers, investment advisers, funds, insurance companies and money services businesses, including those involved in global e-commerce and virtual currency, on the anti-money laundering and sanctions regulations, rules and related issues governing their investment and business activities. Ms. Goldstein has particular experience with issues arising out of the Bank Secrecy Act, as amended by the USA PATRIOT Act, the AML Act of 2020 and the Corporate Transparency Act. Before joining Schulte, she was an attorney-advisor with the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN). At FinCEN, where she assisted in the development of anti-money laundering regulations and guidance and served as counsel on enforcement actions involving issues such as failure to implement and maintain an adequate anti-money laundering compliance program, failure to register as a money services business and failure to maintain confidentiality of suspicious activity reports. Ms. Goldstein earned her B.S. degree, with honors, from Cornell University; and her J.D. degree, associate editor, Fordham International Law Journal from Fordham University School of Law. She is admitted to practice in New Jersey, New York, District of Columbia; and the U.S. District Court, District of New Jersey.

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Speaker bio
Georgia A Haniuk

Georgia A. Haniuk

Schulte Roth & Zabel LLP
Georgia Haniuk

is an attorney with Schulte Roth & Zabel LLP, practicing in the areas of investment management and regulatory/compliance. She earned her B.A. degree from Montana State University and her J.D. degree from Tulane University Law School. Ms. Haniuk is admitted to practice in New York.

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Speaker bio
Jessica Romano

Jessica Romano

Schulte Roth & Zabel LLP
Jessica Romano

is Special Counsel with Schulte Roth & Zabel LLP where she advises money transmitters, payments companies and other financial institutions on a variety of regulatory issues, including compliance with federal and state banking and consumer finance laws and multistate licensing requirements, as well as transactional matters. Ms. Romano advises private equity firms on transactional matters related to the acquisition and sale of payments companies and money transmitters. She also has experience advising investment advisers and private funds on regulatory matters. Ms. Romano earned her B.S. degree from Long Island University and her J.D. degree, summa cum laude, (associate managing editor, St. John's Law Review) from St. John's University School of Law. She is admitted to practice in New York.

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