Bar Admissions
- New York
Court Admissions
- US Supreme Court
- US District Court, District of New Jersey
- US District Court, Eastern District of New York
- US District Court, Southern District of New York
Education
- Georgetown University Law Center, JD
- Georgetown University Law Center Advocacy Award
- Rutgers University, BA
Kelly Koscuiszka
Partner
Co-chair of the Investment Management Regulatory & Compliance Group. Advises on private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940.
Kelly 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.
Kelly also advises clients on data privacy and cybersecurity.
She regularly conducts client training sessions and is a sought-after presenter at leading industry conferences.
- A former Equifax CIO in a widely publicized insider trading case brought by the DOJ and the SEC in the Northern District of Georgia. The executive was charged with trading on material non-public information ahead of the company’s public announcement of its 2017 data breach.
- A private fund in connection with the SEC’s investigation of the 2014 Yahoo data breach.
- A broker-dealer portfolio company in parallel SEC and DOJ investigations of securities fraud, which resulted in a corporate criminal plea in the District of New Jersey and SEC settlement, as well as the related distribution of a $110 million SEC Fair Fund.
- A private equity fund in cross-border disputes relating to a failed investment in Brazil and various litigations attempting to hold the private equity sponsor responsible for its portfolio company’s liabilities; resolved related insurance coverage disputes with five insurers.
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
-
“CrowdStrike Outage: A Test of Form PF Current Report Procedures,” Hedge Fund Law Report, August 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “Regulatory Roundup,” Hedge Fund Alert, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “SEC Adopts Sweeping Final Private Fund Disclosure Rule,” FundFire, Aug. 23, 2023 (quoted)
- “US SEC Overhauls Rules for $20 Trillion Private Fund Industry,” Reuters, Aug. 23, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?" Schulte Alert, Aug. 2, 2023
- “Key considerations before dabbling in AI,” Regulatory Compliance Watch, July 24, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “California Privacy Rights Act Reminder: Enforcement Begins July 1, 2023,” Schulte Alert, June 20, 2023
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- “Alt Data’s Growing Pains: Integration and Aggregation Challenges Stall Wider Adoption,” WatersTechnology, May 4, 2023 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “The New California Privacy Rights Act: Key Takeaways for Private Fund Managers” Schulte Alert, Dec. 29, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- Securities Enforcement Quarterly, Schulte Publication, Aug. 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Updates to Data Transfer Agreements – 21 September Deadline is Approaching,” Schulte Alert, June 24, 2022
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Warned That Alt Data is Rife with Due Diligence Risks Days Before Thinknum Crisis Emerged,” WatersTechnology, May 13, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “How to Keep Data Breach Investigation Reports Confidential,” Law 360, March 28, 2022
- “SEC Proposes Cyber Rules for Investment Funds and Advisers,” WSJ Pro, Feb. 14, 2022 (quoted)
- “SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- “SEC Proposes New Rules for Private Fund Managers,” Schulte Alert, Feb. 9, 2022
- “SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022; republished in Harvard Law School Forum on Corporate Governance, Feb. 2022
- Securities Enforcement Quarterly, Schulte Publication, January 2022
- “Tips for Fund Managers Responding to Cyberattacks," Bloomberg Law, December 2021
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds," Law360, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, November 2021
- “Treasury Issues Reports and Guidance to Assist Industry In Addressing Threats Posed by Certain Virtual Currency Transactions and Ransomware Payments,” Schulte Alert, Oct. 28, 2021
- “App Annie Settlement Signals Closer Scrutiny of Data Brokers,” The Wall Street Journal, Sept. 16, 2021 (quoted)
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “Data Privacy Update for Private Fund Managers – Virginia Consumer Data Protection Act,” Schulte Alert, April 6, 2021
- “US Courts Develop Nuanced Web Scraping Views as Investors Wait for HiQ Appeal," Neudata, April 2021
- “Cybersecurity Threats, Responses and Preventative Measures with Schulte’s Cybersecurity & Data Privacy Group," The Hedge Fund Journal, April 2021 (quoted)
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Treasury Issues Advisories Related to Ransomware Attacks,” Schulte Alert, Dec. 1, 2020
- “SEC Increases Focus on Alternative Data and MNPI Risks,” Bloomberg Law, November 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, November 2020
- “Private Funds Regulatory Update,” Schulte Publication, October 2020
- “Private Funds Regulatory Update,” Schulte Publication, August 2020; republished in The Hedge Fund Journal, September 2020
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, August 17, 2020; republished in Law360, August 27, 2020
- “Private Funds Regulatory Update,” Schulte Publication, July 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Business Continuity and Other Operational Risks (Part Three of Three),” Hedge Fund Law Report, April 16, 2020 (quoted)
- “Videoconferencing: Tips for Schools to Navigate Security and Privacy Risks,” Schulte Alert, April 14, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Marketing Disruptions, Key Person Clauses and Cybersecurity Concerns (Part Two of Three),” Hedge Fund Law Report, April 9, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Form ADV Filing Relief, Investor Communications and Liquidity Risks (Part Three of Three),” Private Equity Law Report, April 7, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Key Person Clauses, Fundraising Disruptions and Deal Flow Issues (Part Two of Three),” Private Equity Law Report, March, 31 2020 (quoted)
- “Key Considerations for Fund Managers Responding to the Coronavirus Outbreak,” Hedge Fund Law Report, March 26, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Broker-Dealers: B-D Guidance on Increased Cybersecurity Risks Due to the COVID-19 Pandemic,” Schulte Alert, March 20, 2020
- “Litigation Alert – Force Majeure Under New York and Delaware Law,” Schulte Alert, March 19, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “Private Funds – Coronavirus Update for Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “CFTC Cyber Incident Information Request – Private Fund Manager Responses Required,” Schulte Alert, Jan. 9, 2020
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC Staff Publishes Statement on LIBOR Transition,” Schulte Alert, July 18, 2019
- “AI and Alternative Data,” Schulte London Investment Management Hot Topics, May 2024
- “Regulatory Update - Convergence of AI and AltData,” Neudata New York Data Summit, June 2024
- Moderator, “A Regulatory Marathon,” MFA Ops Los Angeles, March 2024
-
“U.S. regulatory update for non-U.S. managers,” MFA Webinar, February 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The Future of AI in Market Surveillance,” SteelEye Regs & Eggs 2023, November 2023
- “Legal Considerations, Compliance, and Generative AI,” FISD Alternative Data Council: Compliance and Generative AI, October 2023
- “Regulation is Coming: Domestic and International Implications,” MFA Data & Technology 2023, September 2023
- “Preparing for the Modern SEC Exam,” Neudata's New York Summer Data Summit, June 2023
- “Expert Networks and the Convergence of Data and Research,” Alternative Data Council Expert Networks and the Convergence of Data and Research, June 2023
- “Regulatory Update,” 2023 Goldman Sachs Alternative Asset Managers Insights Forum, August 2023
- “Activist Regulatory Update,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- “Let's Talk About Regs, Baby...” UBS Global Markets Hedge Fund Leadership Conference, May 2023
- “SEC Focus on Off-Channel Communications: Latest Update for Private Fund Managers,” Schulte Webinar, April 2023
- “Regulation Session for Investors,” Neudata Boston Data Day for Investors, March 2023
- “Mock Vendor Diligence,” Neudata Webinar, February 2023
- Moderator, “Digital Investing Due Diligence,” MFA Digital Investing 2023, January 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “SEC Focus: Alternative Data, Electronic Communications and Expert Networks,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Chief Compliance Officer Liability: What’s the Risk?” AIMA Webinar, December 2022
- “Manager Scenario in Action” and “Whatsapp/Texting and Managing Legal, Compliance and Risk Considerations,” GAIM Ops West, October 2022
- “The SEC Episode,” The Alternative Data Podcast, June 2022
- “Regtech: Best Practices,” MFA Legal and Compliance, May 2022
- “SEC's EXAM Risk Alert April 2022: The Alternative Data Response on Policies and Procedures,” Eagle Alpha Webinar, May 2022
- HiQ Labs v. LinkedIn: The Ruling Discussed, April 2022
- “Implications and Practical Considerations for Communicating Post-SEC Settlement with JP Morgan,” Securities Roundtable, March 2022
- “Enforcement,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “SEC's ‘Shadow Trading’ Theory of Insider Trading – Practical Implications for Fund Managers,” Schulte Webinar, September 2021
- “Alternative Data Acquisition Regulatory Update and Application,” MFA Legal and Compliance, July 2021
- “Van Buren, hiQ & The Future of Web Scraping: A Conversation with Professor Eric Goldman,” Schulte Webinar, June 2021
- “The Regulation Episode,” The Alternative Data Podcast, May 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “Data Privacy Cyber Security and Intellectual Property,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “Coronavirus: Business Continuity Considerations for Fund Managers,” Schulte Webinar, March 2020
- “Regulatory Compliance 2020,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- ACA Fall 2019 Compliance Conference, September 2019
- “Crisis Management,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- New York Super Lawyers – Rising Star
- A former Equifax CIO in a widely publicized insider trading case brought by the DOJ and the SEC in the Northern District of Georgia. The executive was charged with trading on material non-public information ahead of the company’s public announcement of its 2017 data breach.
- A private fund in connection with the SEC’s investigation of the 2014 Yahoo data breach.
- A broker-dealer portfolio company in parallel SEC and DOJ investigations of securities fraud, which resulted in a corporate criminal plea in the District of New Jersey and SEC settlement, as well as the related distribution of a $110 million SEC Fair Fund.
- A private equity fund in cross-border disputes relating to a failed investment in Brazil and various litigations attempting to hold the private equity sponsor responsible for its portfolio company’s liabilities; resolved related insurance coverage disputes with five insurers.
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
-
“CrowdStrike Outage: A Test of Form PF Current Report Procedures,” Hedge Fund Law Report, August 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “Regulatory Roundup,” Hedge Fund Alert, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “SEC Adopts Sweeping Final Private Fund Disclosure Rule,” FundFire, Aug. 23, 2023 (quoted)
- “US SEC Overhauls Rules for $20 Trillion Private Fund Industry,” Reuters, Aug. 23, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?" Schulte Alert, Aug. 2, 2023
- “Key considerations before dabbling in AI,” Regulatory Compliance Watch, July 24, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “California Privacy Rights Act Reminder: Enforcement Begins July 1, 2023,” Schulte Alert, June 20, 2023
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- “Alt Data’s Growing Pains: Integration and Aggregation Challenges Stall Wider Adoption,” WatersTechnology, May 4, 2023 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “The New California Privacy Rights Act: Key Takeaways for Private Fund Managers” Schulte Alert, Dec. 29, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- Securities Enforcement Quarterly, Schulte Publication, Aug. 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Updates to Data Transfer Agreements – 21 September Deadline is Approaching,” Schulte Alert, June 24, 2022
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Warned That Alt Data is Rife with Due Diligence Risks Days Before Thinknum Crisis Emerged,” WatersTechnology, May 13, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “How to Keep Data Breach Investigation Reports Confidential,” Law 360, March 28, 2022
- “SEC Proposes Cyber Rules for Investment Funds and Advisers,” WSJ Pro, Feb. 14, 2022 (quoted)
- “SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- “SEC Proposes New Rules for Private Fund Managers,” Schulte Alert, Feb. 9, 2022
- “SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022; republished in Harvard Law School Forum on Corporate Governance, Feb. 2022
- Securities Enforcement Quarterly, Schulte Publication, January 2022
- “Tips for Fund Managers Responding to Cyberattacks," Bloomberg Law, December 2021
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds," Law360, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, November 2021
- “Treasury Issues Reports and Guidance to Assist Industry In Addressing Threats Posed by Certain Virtual Currency Transactions and Ransomware Payments,” Schulte Alert, Oct. 28, 2021
- “App Annie Settlement Signals Closer Scrutiny of Data Brokers,” The Wall Street Journal, Sept. 16, 2021 (quoted)
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “Data Privacy Update for Private Fund Managers – Virginia Consumer Data Protection Act,” Schulte Alert, April 6, 2021
- “US Courts Develop Nuanced Web Scraping Views as Investors Wait for HiQ Appeal," Neudata, April 2021
- “Cybersecurity Threats, Responses and Preventative Measures with Schulte’s Cybersecurity & Data Privacy Group," The Hedge Fund Journal, April 2021 (quoted)
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Treasury Issues Advisories Related to Ransomware Attacks,” Schulte Alert, Dec. 1, 2020
- “SEC Increases Focus on Alternative Data and MNPI Risks,” Bloomberg Law, November 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, November 2020
- “Private Funds Regulatory Update,” Schulte Publication, October 2020
- “Private Funds Regulatory Update,” Schulte Publication, August 2020; republished in The Hedge Fund Journal, September 2020
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, August 17, 2020; republished in Law360, August 27, 2020
- “Private Funds Regulatory Update,” Schulte Publication, July 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Business Continuity and Other Operational Risks (Part Three of Three),” Hedge Fund Law Report, April 16, 2020 (quoted)
- “Videoconferencing: Tips for Schools to Navigate Security and Privacy Risks,” Schulte Alert, April 14, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Marketing Disruptions, Key Person Clauses and Cybersecurity Concerns (Part Two of Three),” Hedge Fund Law Report, April 9, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Form ADV Filing Relief, Investor Communications and Liquidity Risks (Part Three of Three),” Private Equity Law Report, April 7, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Key Person Clauses, Fundraising Disruptions and Deal Flow Issues (Part Two of Three),” Private Equity Law Report, March, 31 2020 (quoted)
- “Key Considerations for Fund Managers Responding to the Coronavirus Outbreak,” Hedge Fund Law Report, March 26, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Broker-Dealers: B-D Guidance on Increased Cybersecurity Risks Due to the COVID-19 Pandemic,” Schulte Alert, March 20, 2020
- “Litigation Alert – Force Majeure Under New York and Delaware Law,” Schulte Alert, March 19, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “Private Funds – Coronavirus Update for Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “CFTC Cyber Incident Information Request – Private Fund Manager Responses Required,” Schulte Alert, Jan. 9, 2020
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC Staff Publishes Statement on LIBOR Transition,” Schulte Alert, July 18, 2019
- “AI and Alternative Data,” Schulte London Investment Management Hot Topics, May 2024
- “Regulatory Update - Convergence of AI and AltData,” Neudata New York Data Summit, June 2024
- Moderator, “A Regulatory Marathon,” MFA Ops Los Angeles, March 2024
-
“U.S. regulatory update for non-U.S. managers,” MFA Webinar, February 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The Future of AI in Market Surveillance,” SteelEye Regs & Eggs 2023, November 2023
- “Legal Considerations, Compliance, and Generative AI,” FISD Alternative Data Council: Compliance and Generative AI, October 2023
- “Regulation is Coming: Domestic and International Implications,” MFA Data & Technology 2023, September 2023
- “Preparing for the Modern SEC Exam,” Neudata's New York Summer Data Summit, June 2023
- “Expert Networks and the Convergence of Data and Research,” Alternative Data Council Expert Networks and the Convergence of Data and Research, June 2023
- “Regulatory Update,” 2023 Goldman Sachs Alternative Asset Managers Insights Forum, August 2023
- “Activist Regulatory Update,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- “Let's Talk About Regs, Baby...” UBS Global Markets Hedge Fund Leadership Conference, May 2023
- “SEC Focus on Off-Channel Communications: Latest Update for Private Fund Managers,” Schulte Webinar, April 2023
- “Regulation Session for Investors,” Neudata Boston Data Day for Investors, March 2023
- “Mock Vendor Diligence,” Neudata Webinar, February 2023
- Moderator, “Digital Investing Due Diligence,” MFA Digital Investing 2023, January 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “SEC Focus: Alternative Data, Electronic Communications and Expert Networks,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Chief Compliance Officer Liability: What’s the Risk?” AIMA Webinar, December 2022
- “Manager Scenario in Action” and “Whatsapp/Texting and Managing Legal, Compliance and Risk Considerations,” GAIM Ops West, October 2022
- “The SEC Episode,” The Alternative Data Podcast, June 2022
- “Regtech: Best Practices,” MFA Legal and Compliance, May 2022
- “SEC's EXAM Risk Alert April 2022: The Alternative Data Response on Policies and Procedures,” Eagle Alpha Webinar, May 2022
- HiQ Labs v. LinkedIn: The Ruling Discussed, April 2022
- “Implications and Practical Considerations for Communicating Post-SEC Settlement with JP Morgan,” Securities Roundtable, March 2022
- “Enforcement,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “SEC's ‘Shadow Trading’ Theory of Insider Trading – Practical Implications for Fund Managers,” Schulte Webinar, September 2021
- “Alternative Data Acquisition Regulatory Update and Application,” MFA Legal and Compliance, July 2021
- “Van Buren, hiQ & The Future of Web Scraping: A Conversation with Professor Eric Goldman,” Schulte Webinar, June 2021
- “The Regulation Episode,” The Alternative Data Podcast, May 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “Data Privacy Cyber Security and Intellectual Property,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “Coronavirus: Business Continuity Considerations for Fund Managers,” Schulte Webinar, March 2020
- “Regulatory Compliance 2020,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- ACA Fall 2019 Compliance Conference, September 2019
- “Crisis Management,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- New York Super Lawyers – Rising Star
Kelly Koscuiszka
Partner
Co-chair of the Investment Management Regulatory & Compliance Group. Advises on private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940.
Kelly 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.
Kelly also advises clients on data privacy and cybersecurity.
She regularly conducts client training sessions and is a sought-after presenter at leading industry conferences.
Bar Admissions
- New York
Court Admissions
- US Supreme Court
- US District Court, District of New Jersey
- US District Court, Eastern District of New York
- US District Court, Southern District of New York
Education
- Georgetown University Law Center, JD
- Georgetown University Law Center Advocacy Award
- Rutgers University, BA
- A former Equifax CIO in a widely publicized insider trading case brought by the DOJ and the SEC in the Northern District of Georgia. The executive was charged with trading on material non-public information ahead of the company’s public announcement of its 2017 data breach.
- A private fund in connection with the SEC’s investigation of the 2014 Yahoo data breach.
- A broker-dealer portfolio company in parallel SEC and DOJ investigations of securities fraud, which resulted in a corporate criminal plea in the District of New Jersey and SEC settlement, as well as the related distribution of a $110 million SEC Fair Fund.
- A private equity fund in cross-border disputes relating to a failed investment in Brazil and various litigations attempting to hold the private equity sponsor responsible for its portfolio company’s liabilities; resolved related insurance coverage disputes with five insurers.
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
-
“CrowdStrike Outage: A Test of Form PF Current Report Procedures,” Hedge Fund Law Report, August 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “Regulatory Roundup,” Hedge Fund Alert, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “SEC Adopts Sweeping Final Private Fund Disclosure Rule,” FundFire, Aug. 23, 2023 (quoted)
- “US SEC Overhauls Rules for $20 Trillion Private Fund Industry,” Reuters, Aug. 23, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?" Schulte Alert, Aug. 2, 2023
- “Key considerations before dabbling in AI,” Regulatory Compliance Watch, July 24, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “California Privacy Rights Act Reminder: Enforcement Begins July 1, 2023,” Schulte Alert, June 20, 2023
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- “Alt Data’s Growing Pains: Integration and Aggregation Challenges Stall Wider Adoption,” WatersTechnology, May 4, 2023 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “The New California Privacy Rights Act: Key Takeaways for Private Fund Managers” Schulte Alert, Dec. 29, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- Securities Enforcement Quarterly, Schulte Publication, Aug. 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Updates to Data Transfer Agreements – 21 September Deadline is Approaching,” Schulte Alert, June 24, 2022
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Warned That Alt Data is Rife with Due Diligence Risks Days Before Thinknum Crisis Emerged,” WatersTechnology, May 13, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “How to Keep Data Breach Investigation Reports Confidential,” Law 360, March 28, 2022
- “SEC Proposes Cyber Rules for Investment Funds and Advisers,” WSJ Pro, Feb. 14, 2022 (quoted)
- “SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- “SEC Proposes New Rules for Private Fund Managers,” Schulte Alert, Feb. 9, 2022
- “SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022; republished in Harvard Law School Forum on Corporate Governance, Feb. 2022
- Securities Enforcement Quarterly, Schulte Publication, January 2022
- “Tips for Fund Managers Responding to Cyberattacks," Bloomberg Law, December 2021
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds," Law360, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, November 2021
- “Treasury Issues Reports and Guidance to Assist Industry In Addressing Threats Posed by Certain Virtual Currency Transactions and Ransomware Payments,” Schulte Alert, Oct. 28, 2021
- “App Annie Settlement Signals Closer Scrutiny of Data Brokers,” The Wall Street Journal, Sept. 16, 2021 (quoted)
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “Data Privacy Update for Private Fund Managers – Virginia Consumer Data Protection Act,” Schulte Alert, April 6, 2021
- “US Courts Develop Nuanced Web Scraping Views as Investors Wait for HiQ Appeal," Neudata, April 2021
- “Cybersecurity Threats, Responses and Preventative Measures with Schulte’s Cybersecurity & Data Privacy Group," The Hedge Fund Journal, April 2021 (quoted)
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Treasury Issues Advisories Related to Ransomware Attacks,” Schulte Alert, Dec. 1, 2020
- “SEC Increases Focus on Alternative Data and MNPI Risks,” Bloomberg Law, November 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, November 2020
- “Private Funds Regulatory Update,” Schulte Publication, October 2020
- “Private Funds Regulatory Update,” Schulte Publication, August 2020; republished in The Hedge Fund Journal, September 2020
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, August 17, 2020; republished in Law360, August 27, 2020
- “Private Funds Regulatory Update,” Schulte Publication, July 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Business Continuity and Other Operational Risks (Part Three of Three),” Hedge Fund Law Report, April 16, 2020 (quoted)
- “Videoconferencing: Tips for Schools to Navigate Security and Privacy Risks,” Schulte Alert, April 14, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Marketing Disruptions, Key Person Clauses and Cybersecurity Concerns (Part Two of Three),” Hedge Fund Law Report, April 9, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Form ADV Filing Relief, Investor Communications and Liquidity Risks (Part Three of Three),” Private Equity Law Report, April 7, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Key Person Clauses, Fundraising Disruptions and Deal Flow Issues (Part Two of Three),” Private Equity Law Report, March, 31 2020 (quoted)
- “Key Considerations for Fund Managers Responding to the Coronavirus Outbreak,” Hedge Fund Law Report, March 26, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Broker-Dealers: B-D Guidance on Increased Cybersecurity Risks Due to the COVID-19 Pandemic,” Schulte Alert, March 20, 2020
- “Litigation Alert – Force Majeure Under New York and Delaware Law,” Schulte Alert, March 19, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “Private Funds – Coronavirus Update for Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “CFTC Cyber Incident Information Request – Private Fund Manager Responses Required,” Schulte Alert, Jan. 9, 2020
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC Staff Publishes Statement on LIBOR Transition,” Schulte Alert, July 18, 2019
- “AI and Alternative Data,” Schulte London Investment Management Hot Topics, May 2024
- “Regulatory Update - Convergence of AI and AltData,” Neudata New York Data Summit, June 2024
- Moderator, “A Regulatory Marathon,” MFA Ops Los Angeles, March 2024
-
“U.S. regulatory update for non-U.S. managers,” MFA Webinar, February 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The Future of AI in Market Surveillance,” SteelEye Regs & Eggs 2023, November 2023
- “Legal Considerations, Compliance, and Generative AI,” FISD Alternative Data Council: Compliance and Generative AI, October 2023
- “Regulation is Coming: Domestic and International Implications,” MFA Data & Technology 2023, September 2023
- “Preparing for the Modern SEC Exam,” Neudata's New York Summer Data Summit, June 2023
- “Expert Networks and the Convergence of Data and Research,” Alternative Data Council Expert Networks and the Convergence of Data and Research, June 2023
- “Regulatory Update,” 2023 Goldman Sachs Alternative Asset Managers Insights Forum, August 2023
- “Activist Regulatory Update,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- “Let's Talk About Regs, Baby...” UBS Global Markets Hedge Fund Leadership Conference, May 2023
- “SEC Focus on Off-Channel Communications: Latest Update for Private Fund Managers,” Schulte Webinar, April 2023
- “Regulation Session for Investors,” Neudata Boston Data Day for Investors, March 2023
- “Mock Vendor Diligence,” Neudata Webinar, February 2023
- Moderator, “Digital Investing Due Diligence,” MFA Digital Investing 2023, January 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “SEC Focus: Alternative Data, Electronic Communications and Expert Networks,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Chief Compliance Officer Liability: What’s the Risk?” AIMA Webinar, December 2022
- “Manager Scenario in Action” and “Whatsapp/Texting and Managing Legal, Compliance and Risk Considerations,” GAIM Ops West, October 2022
- “The SEC Episode,” The Alternative Data Podcast, June 2022
- “Regtech: Best Practices,” MFA Legal and Compliance, May 2022
- “SEC's EXAM Risk Alert April 2022: The Alternative Data Response on Policies and Procedures,” Eagle Alpha Webinar, May 2022
- HiQ Labs v. LinkedIn: The Ruling Discussed, April 2022
- “Implications and Practical Considerations for Communicating Post-SEC Settlement with JP Morgan,” Securities Roundtable, March 2022
- “Enforcement,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “SEC's ‘Shadow Trading’ Theory of Insider Trading – Practical Implications for Fund Managers,” Schulte Webinar, September 2021
- “Alternative Data Acquisition Regulatory Update and Application,” MFA Legal and Compliance, July 2021
- “Van Buren, hiQ & The Future of Web Scraping: A Conversation with Professor Eric Goldman,” Schulte Webinar, June 2021
- “The Regulation Episode,” The Alternative Data Podcast, May 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “Data Privacy Cyber Security and Intellectual Property,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “Coronavirus: Business Continuity Considerations for Fund Managers,” Schulte Webinar, March 2020
- “Regulatory Compliance 2020,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- ACA Fall 2019 Compliance Conference, September 2019
- “Crisis Management,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- New York Super Lawyers – Rising Star
- A former Equifax CIO in a widely publicized insider trading case brought by the DOJ and the SEC in the Northern District of Georgia. The executive was charged with trading on material non-public information ahead of the company’s public announcement of its 2017 data breach.
- A private fund in connection with the SEC’s investigation of the 2014 Yahoo data breach.
- A broker-dealer portfolio company in parallel SEC and DOJ investigations of securities fraud, which resulted in a corporate criminal plea in the District of New Jersey and SEC settlement, as well as the related distribution of a $110 million SEC Fair Fund.
- A private equity fund in cross-border disputes relating to a failed investment in Brazil and various litigations attempting to hold the private equity sponsor responsible for its portfolio company’s liabilities; resolved related insurance coverage disputes with five insurers.
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
-
“CrowdStrike Outage: A Test of Form PF Current Report Procedures,” Hedge Fund Law Report, August 2024 (quoted)
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “Regulatory Roundup,” Hedge Fund Alert, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
- “SEC Adopts Sweeping Final Private Fund Disclosure Rule,” FundFire, Aug. 23, 2023 (quoted)
- “US SEC Overhauls Rules for $20 Trillion Private Fund Industry,” Reuters, Aug. 23, 2023 (quoted)
- “The SEC’s AI Proposal: Regulating Everything Everywhere All at Once?" Schulte Alert, Aug. 2, 2023
- “Key considerations before dabbling in AI,” Regulatory Compliance Watch, July 24, 2023 (quoted)
- “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” Schulte Alert, June 23, 2023
- “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” Schulte Alert, June 21, 2023
- “California Privacy Rights Act Reminder: Enforcement Begins July 1, 2023,” Schulte Alert, June 20, 2023
- “SEC Enforcement Director Highlights Focus on Private Funds,” Schulte Alert, May 25, 2023
- “Alt Data’s Growing Pains: Integration and Aggregation Challenges Stall Wider Adoption,” WatersTechnology, May 4, 2023 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, February 2023
- “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” Schulte Alert, Jan. 18, 2023
- “The New California Privacy Rights Act: Key Takeaways for Private Fund Managers” Schulte Alert, Dec. 29, 2022
- “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” Schulte Alert, Nov. 11, 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” Schulte Alert, Sept. 21, 2022
- “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” Schulte Alert, Sept. 20, 2022
- “SEC Custody Rule Update: Takeaways from Recent Enforcement,” Schulte Alert, Sept. 19, 2022
- Securities Enforcement Quarterly, Schulte Publication, Aug. 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “Updates to Data Transfer Agreements – 21 September Deadline is Approaching,” Schulte Alert, June 24, 2022
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Warned That Alt Data is Rife with Due Diligence Risks Days Before Thinknum Crisis Emerged,” WatersTechnology, May 13, 2022 (quoted)
- Securities Enforcement Quarterly, Schulte Publication, May 2022
- “SEC Examinations: What Private Fund Managers Can Expect in 2022,” Schulte Alert, April 19, 2022
- “How to Keep Data Breach Investigation Reports Confidential,” Law 360, March 28, 2022
- “SEC Proposes Cyber Rules for Investment Funds and Advisers,” WSJ Pro, Feb. 14, 2022 (quoted)
- “SEC Proposes Cybersecurity Risk Management," Schulte Alert, Feb. 10, 2022
- “SEC Proposes New Rules for Private Fund Managers,” Schulte Alert, Feb. 9, 2022
- “SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny," Schulte Alert, Jan. 31, 2022; republished in Harvard Law School Forum on Corporate Governance, Feb. 2022
- Securities Enforcement Quarterly, Schulte Publication, January 2022
- “Tips for Fund Managers Responding to Cyberattacks," Bloomberg Law, December 2021
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds," Law360, Nov. 30, 2021
- Securities Enforcement Quarterly, Schulte Publication, October 2021; republished in the Harvard Law School Forum on Corporate Governance, November 2021
- “Treasury Issues Reports and Guidance to Assist Industry In Addressing Threats Posed by Certain Virtual Currency Transactions and Ransomware Payments,” Schulte Alert, Oct. 28, 2021
- “App Annie Settlement Signals Closer Scrutiny of Data Brokers,” The Wall Street Journal, Sept. 16, 2021 (quoted)
- “Cybersecurity Update for Private Fund Managers: Lessons from Recent SEC Enforcement Actions,” Schulte Alert, Sept. 2, 2021
- Securities Enforcement Quarterly, Schulte Publication, July 2021
- “Private Funds Market Trends Report,” Schulte Publication, June 2021
- Securities Enforcement Quarterly, Schulte Publication, April 2021
- “Data Privacy Update for Private Fund Managers – Virginia Consumer Data Protection Act,” Schulte Alert, April 6, 2021
- “US Courts Develop Nuanced Web Scraping Views as Investors Wait for HiQ Appeal," Neudata, April 2021
- “Cybersecurity Threats, Responses and Preventative Measures with Schulte’s Cybersecurity & Data Privacy Group," The Hedge Fund Journal, April 2021 (quoted)
- “SEC Examinations Update: 2021 Examination Priorities,” Schulte Alert, March 4, 2021
- “Treasury Issues Advisories Related to Ransomware Attacks,” Schulte Alert, Dec. 1, 2020
- “SEC Increases Focus on Alternative Data and MNPI Risks,” Bloomberg Law, November 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, November 2020
- “Private Funds Regulatory Update,” Schulte Publication, October 2020
- “Private Funds Regulatory Update,” Schulte Publication, August 2020; republished in The Hedge Fund Journal, September 2020
- “Ransomware Attacks – Assessing and Mitigating the Exposure of Fund Managers,” Schulte Alert, August 17, 2020; republished in Law360, August 27, 2020
- “Private Funds Regulatory Update,” Schulte Publication, July 2020
- “Privacy Update for Private Fund Managers: California AG Issues Final CCPA Regulations, Intends to Begin Enforcement July 1,” Schulte Alert, June 12, 2020
- “Private Funds Regulatory Update,” Schulte Update, June 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Business Continuity and Other Operational Risks (Part Three of Three),” Hedge Fund Law Report, April 16, 2020 (quoted)
- “Videoconferencing: Tips for Schools to Navigate Security and Privacy Risks,” Schulte Alert, April 14, 2020
- “Videoconferencing: Tips for Fund Managers to Navigate Security, Privacy and Compliance Risks,” Schulte Alert, April 10, 2020
- “How Fund Managers Can Withstand the Coronavirus Pandemic: Marketing Disruptions, Key Person Clauses and Cybersecurity Concerns (Part Two of Three),” Hedge Fund Law Report, April 9, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Form ADV Filing Relief, Investor Communications and Liquidity Risks (Part Three of Three),” Private Equity Law Report, April 7, 2020 (quoted)
- “Withstanding the Coronavirus Pandemic: Key Person Clauses, Fundraising Disruptions and Deal Flow Issues (Part Two of Three),” Private Equity Law Report, March, 31 2020 (quoted)
- “Key Considerations for Fund Managers Responding to the Coronavirus Outbreak,” Hedge Fund Law Report, March 26, 2020
- “Privacy Update for Private Fund Managers: Attorney General Issues Further Revisions to the California Consumer Privacy Act Regulations, as Businesses Call for Enforcement Delay Due to COVID-19,” Schulte Alert, March 24, 2020
- “Broker-Dealers: B-D Guidance on Increased Cybersecurity Risks Due to the COVID-19 Pandemic,” Schulte Alert, March 20, 2020
- “Litigation Alert – Force Majeure Under New York and Delaware Law,” Schulte Alert, March 19, 2020
- “Data Security: Update for Private Fund Managers – NY SHIELD Act,” Schulte Alert, March 18, 2020
- “Cybersecurity – Homeland Security Warns of Coronavirus-Related Cybersecurity Risks – Considerations for Private Fund Managers,” Schulte Alert, March 16, 2020
- “The Latest Revisions to the California Consumer Privacy Act Regulations: Key Considerations for Private Fund Managers,” Schulte Alert, March 10, 2020
- “Private Funds – Coronavirus Update for Fund Managers,” Schulte Alert, March 10, 2020
- “The California Consumer Privacy Act Training Requirements: Tips for Private Fund Managers,” Schulte Alert, Feb. 18, 2020
- “CFTC Cyber Incident Information Request – Private Fund Manager Responses Required,” Schulte Alert, Jan. 9, 2020
- “The California Consumer Privacy Act: Key Points for Private Fund Managers,” Schulte Alert, Dec. 6, 2019
- “SEC Staff Publishes Statement on LIBOR Transition,” Schulte Alert, July 18, 2019
- “AI and Alternative Data,” Schulte London Investment Management Hot Topics, May 2024
- “Regulatory Update - Convergence of AI and AltData,” Neudata New York Data Summit, June 2024
- Moderator, “A Regulatory Marathon,” MFA Ops Los Angeles, March 2024
-
“U.S. regulatory update for non-U.S. managers,” MFA Webinar, February 2024
- “Regulation: The State of Play,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The Future of AI in Market Surveillance,” SteelEye Regs & Eggs 2023, November 2023
- “Legal Considerations, Compliance, and Generative AI,” FISD Alternative Data Council: Compliance and Generative AI, October 2023
- “Regulation is Coming: Domestic and International Implications,” MFA Data & Technology 2023, September 2023
- “Preparing for the Modern SEC Exam,” Neudata's New York Summer Data Summit, June 2023
- “Expert Networks and the Convergence of Data and Research,” Alternative Data Council Expert Networks and the Convergence of Data and Research, June 2023
- “Regulatory Update,” 2023 Goldman Sachs Alternative Asset Managers Insights Forum, August 2023
- “Activist Regulatory Update,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- “Let's Talk About Regs, Baby...” UBS Global Markets Hedge Fund Leadership Conference, May 2023
- “SEC Focus on Off-Channel Communications: Latest Update for Private Fund Managers,” Schulte Webinar, April 2023
- “Regulation Session for Investors,” Neudata Boston Data Day for Investors, March 2023
- “Mock Vendor Diligence,” Neudata Webinar, February 2023
- Moderator, “Digital Investing Due Diligence,” MFA Digital Investing 2023, January 2023
- “Regulation of Private Fund Managers,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “SEC Focus: Alternative Data, Electronic Communications and Expert Networks,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Chief Compliance Officer Liability: What’s the Risk?” AIMA Webinar, December 2022
- “Manager Scenario in Action” and “Whatsapp/Texting and Managing Legal, Compliance and Risk Considerations,” GAIM Ops West, October 2022
- “The SEC Episode,” The Alternative Data Podcast, June 2022
- “Regtech: Best Practices,” MFA Legal and Compliance, May 2022
- “SEC's EXAM Risk Alert April 2022: The Alternative Data Response on Policies and Procedures,” Eagle Alpha Webinar, May 2022
- HiQ Labs v. LinkedIn: The Ruling Discussed, April 2022
- “Implications and Practical Considerations for Communicating Post-SEC Settlement with JP Morgan,” Securities Roundtable, March 2022
- “Enforcement,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “SEC's ‘Shadow Trading’ Theory of Insider Trading – Practical Implications for Fund Managers,” Schulte Webinar, September 2021
- “Alternative Data Acquisition Regulatory Update and Application,” MFA Legal and Compliance, July 2021
- “Van Buren, hiQ & The Future of Web Scraping: A Conversation with Professor Eric Goldman,” Schulte Webinar, June 2021
- “The Regulation Episode,” The Alternative Data Podcast, May 2021
- “Electronic Communications Issues: Modernizing Compliance Controls,” Schulte Webinar, March 2021
- “Data Privacy Cyber Security and Intellectual Property,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Private Fund Managers – Regulatory Considerations for Reopened and Remote Functions,” Schulte Webinar, July 2020
- “Coronavirus: Business Continuity Considerations for Fund Managers,” Schulte Webinar, March 2020
- “Regulatory Compliance 2020,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- ACA Fall 2019 Compliance Conference, September 2019
- “Crisis Management,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- New York Super Lawyers – Rising Star
