András Teleki

András Teleki

K&L Gates LLP

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Latest Publications


OCIE’s 2015 Cybersecurity Examination Initiative

On September 15, 2015, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert (the “2015 Risk Alert”) that announced its second round of cybersecurity...more

9/24/2015 - Best Practices Broker-Dealer Compliance Cybersecurity Data Loss Prevention Data Protection Data Security Financial Institutions Financial Markets Incident Response Plans Investment Adviser OCIE Risk Alert SEC Securities Exchanges

AML Update: The Rumors Are True – FinCEN Proposes Regulations That Will Require SEC Registered Investment Advisers to Adopt an AML...

On September 1, 2015, the Financial Crimes Enforcement Network (“FinCEN”) published in the Federal Register long-rumored proposed regulations that will require Securities and Exchange Commission (“SEC”)-registered investment...more

9/22/2015 - Anti-Money Laundering Bank Secrecy Act BSA/AML CIP Compliance Filing Requirements Financial Institutions Financial Markets Financial Planning FinCEN Investment Adviser Investment Companies Investors Money Laundering SAR SEC Securities Exchanges Suspicious Activity Reports

Heard at the SIFMA Conference

Recently, partners from K&L Gates’ Government Enforcement, Broker-Dealer and Investment Management practice groups attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society...more

4/7/2015 - CFTC DOJ FINRA SEC SIFMA Strategic Enforcement Plan

A Few Takeaways from the OCIE Cybersecurity Examination Sweep Summary

On February 3, 2015, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert (the “2015 Risk Alert”) with summary observations from its recently...more

2/16/2015 - Broker-Dealer Compliance Cyber Attacks Cybersecurity Data Protection Financial Institutions FINRA Investment Adviser OCIE Popular Risk Management SEC

Cybersecurity: The Obama Administration Proposes Legislation - Proposals Would Standardize Breach Notification Requirements,...

On January 13, 2015, in response to the continuing onslaught of cyber attacks, including the recent cybersecurity attack and data loss at Sony Pictures Entertainment, the Obama Administration sent to Congress three...more

1/21/2015 - Barack Obama Breach Notification Rule CFTC Cyber Attacks Cybersecurity Enforcement Actions FTC Information Sharing Legislative Agendas OCC Popular SEC Sony

New York Department of Financial Services Unveils “New Cyber Security Examination Process”: Five Key Takeaways

On December 10, 2014, Superintendent Benjamin Lawsky of the New York Department of Financial Services (the “DFS”) announced a “New Cyber Security Examination Process” (the “New Examination Process”) for New York-chartered and...more

12/22/2014 - Bank Examinations Banking Sector Banks Cybersecurity Risk Assessment

Impact of the SEC and CFTC Issuing Final Identity Theft “Red Flag” Rules

On April 19, 2013, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC” and, together with the SEC, the “Commissions”) published final rules (“Red Flag Rules”) in the Federal...more

7/2/2013 - CFTC CPO Creditors Data Protection FTC Identity Theft Investment Adviser Red Flags Rule SEC

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