On June 6, 2023, the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FED), and the Federal Deposit Insurance Corporation (FDIC),…
The SEC has proposed new rules for registered Investment Advisers that would require heightened diligence and monitoring of certain types of service providers. Comments on the draft are due December…
Bortstein Legal Group is proud to announce that it has again been recognized for its achievements and outstanding record as a leading firm in the practice area of Technology &…
The U.S. Securities and Exchange Commission is looking at extending cyber risk management rules to third-party providers and requiring more public company disclosure when there is a security breach. These…
Bortstein Legal Group, Morgan Stanley, BNY Mellon and FINRA representatives were panelists at the Securities Industry and Financial Markets Association (SIFMA) Annual C&L Conference panel called “Reaching Beyond the #cloud:…
On February 9, 2022, the U.S. Securities and Exchange Commission voted to propose new cybersecurity risk management, compliance and disclosure rules for registered investment advisers and registered investment companies. The…
Larry Bortstein was quoted by The Banker in its article “Investment banks cautiously look into the cloud”.
Bortstein Legal Group collaborated with the Securities Industry and Financial Markets Association (SIFMA) to develop SIFMA’s letter in response to a request for public comment by the Financial Industry Regulatory…
On September 14, 2021, the SEC announced the settlement of securities fraud charges against a leading alternative data provider and its CEO for alleged deceptive practices and material misrepresentations to…
Bortstein Legal Group, Google, Morgan Stanley and Pillsbury Winthrop representatives were panelists at the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Virtual Forum session called "Hey, You,…
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