Simpson Thacher Attorneys Author Article on SEC Proposed Amendments to Regulation S-P Safeguards Rule
04.13.23
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Partner David Blass, Counsel David Nicolardi and Associate Jeffrey Caretsky authored an article, which was published by Law360 titled, “Notable Parts Of SEC's Proposal To Update Safeguards Rule.” The article details the SEC’s recent vote to propose amendments to Regulation S-P’s safeguards rule, which would apply to broker-dealers, investment companies, registered investment advisers and transfer agents. It further explores the history of Regulation S-P and breaks down noteworthy aspects of the proposed amendments, which are intended to modernize Regulation S-P, but, if they are adopted in their current form, may have negative implications for covered institutions and their service providers.
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