Sonia Gioseffi

Sonia Gioseffi

K&L Gates LLP

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Changes to the Annual Privacy Notice Delivery Requirement

As a result of recent changes to federal privacy laws, financial institutions—such as registered investment advisers, exempt reporting advisers, commodity trading advisers, registered broker-dealers and private funds—may no...more

2/4/2016 - Financial Institutions Financial Sector Fixing America’s Surface Transportation Act (FAST Act) Gramm-Leach-Blilely Act Privacy Notice Rule

FinTech in the UK: Regulating Disruption

The United Kingdom Government’s Chief Scientific Adviser in its 2015 FinTech Report considered “FinTech” as the integration of “finance and technology in ways that will disrupt traditional financial models and businesses and...more

1/22/2016 - Consumer Lenders Crowdfunding Financial Conduct Authority (FCA) Financial Sector FinTech Online Marketplace Lending Popular UK

The BE-10 Is Due Whether You Are “Invited” to Participate or Not

Did you hear? The BE-10 report is due. It is due at the end of May—May 29, 2015, to be exact—for U.S. reporters required to file fewer than 50 forms, and June 30, 2015 for U.S. reporters required to file 50 or more forms, as...more

5/20/2015 - BEA Deadlines Foreign Direct Investment Penalties Reporting Requirements Required Forms

SEC Staff Addresses Third-Party Endorsements of Investment Advisers on Social Media Websites

On March 28, 2014, the Division of Investment Management of the Securities and Exchange Commission (“SEC”) published an IM Guidance Update that removes a great deal of uncertainty regarding social media use by investment...more

4/30/2014 - Endorsements Investment Adviser Investment Advisers Act of 1940 SEC Social Media Third-Party Relationships

The Threat of Disclosure of Proprietary Information Under the California Public Records Act

Companies responding to requests for proposal (“RFPs”) or contracting with California state or local governmental agencies need to be aware of the special pitfalls posed by the California Public Records Act (“PRA”)....more

9/11/2013 - Public Records Request For Information

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