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SEC Identifies Cybersecurity Compliance Issues Following Examinations

On April 16, 2019, the Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert following OCIE’s examinations of investment advisers and broker-dealers. The Risk Alert identified some of the key compliance issues in the recent examinations related to Regulation S-P, which is the SEC’s principle rule covering privacy notices and policies and practices required to safeguard customer records and information. 

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Governor Cuomo Proposes Extending New York Estate Tax Clawback on Gifts Made Within Three Years of Death

After the Tax Cuts and Jobs Act of 2017 (the “2017 Act”), wealthy taxpayers have the opportunity to “lock in” the temporary increase in the federal estate and gift tax exemption by making large lifetime gifts.  Governor Cuomo’s Fiscal Year 2020 Executive Budget proposes extending a law that could subject such gifts to New York estate tax.

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FTC Cracks Down on Child Online Privacy Protection Act Violations

Take a look at your website’s privacy policy.  Chances are, it includes some language stating that your website does not intend to collect personal information from children under the age of 13 and that, if you become aware that your website has collected personal information from a child under the age of 13, you will promptly delete that information.  This is designed to address the Child Online Privacy Protection Act (“COPPA”), which requires parental consent prior to collecting personal information about a child under the age of 13.

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Right Around the Corner! Our Annual Labor and Employment Law Conference - April 30, 2019

Join Harter Secrest & Emery for our 2019 Labor and Employment Law Conference, taking place April 30th in Rochester, NY.

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New York Makes Changes to Charitable Solicitation Rules

Charitable organizations must abide by certain rules in order to solicit contributions in New York.  Effective March 21, 2019, there will be two new requirements for charities engaging in solicitation.  While the changes are minor, charitable organizations soliciting in New York will need to make adaptations to their solicitations to comply with these rules.

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This website presents only general information not intended as legal advice. Although we encourage calls, letters and emails from prospective clients, please keep in mind that merely contacting Harter Secrest & Emery LLP (HSE) does not establish an attorney-client relationship between us. Confidential information should not be sent to HSE until you have been notified in writing by HSE that a formal attorney-client relationship has been established. Information sent to us before then may not be treated as confidential by HSE or the court.

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