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Home/Fairview Flash Reports
Fairview Flash Reports 2017-07-11T18:28:06+00:00
Aug1, 2017

Dual Registrant Fails to Disclose Conflict of Interest from Revenue Sharing

By | Aug 1st, 2017|Enforcement, Fairview Flash Reports, Mutual Fund and Institutional Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Dual Registrant Fails to Disclose Conflict of Interest from Revenue Sharing WHAT HAPPENED? On July 19, 2017, the SEC charged a dually-registered investment adviser and broker dealer (“Respondent”) for failing to disclose [...]

Jul28, 2017

Upcoming Amendments to Form ADV

By | Jul 28th, 2017|Books and Records, Fairview Flash Reports, Mutual Fund and Institutional Issues, Private Equity Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Upcoming Amendments to Form ADV WHAT HAPPENED? The new ADV reporting requirements go into effect October 1, 2017. Under the revised Form ADV, advisers will: require investment advisers to disclose [...]

May24, 2017

Legal Risks Associated with Cyberattacks

By | May 24th, 2017|Disaster Recovery and Incident Response, Fairview Flash Reports, Mutual Fund and Institutional Issues, Privacy, Cybersecurity, and Regulation S-ID, Private Equity Issues, Technology|

Legal Risks Associated with Cyberattacks PROACTIVE MEASURES AGAINST CYBERATTACKS The recent ransomware attack that has affected more than 100,000 organizations has emphasized how immense the potential impact can be on the [...]

May17, 2017

SEC Amends Form ADV Part 1A and the Advisers Act

By | May 17th, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Private Equity Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

SEC Amends Form ADV Part 1A and the Advisers Act WHAT HAPPENED? The SEC adopted amendments to Part 1A of Form ADV and the Investment Advisers Act of 1940 (the [...]

May15, 2017

SEC Takes Strict Stance on General Solicitations of Certain Regulation D Offerings

By | May 15th, 2017|Enforcement, Fairview Flash Reports, Registration, Disclosure and Filing Requirements, Solicitation, U.S. Securities and Exchange Commission|

SEC Takes Strict Stance on General Solicitations of Certain Regulation D Offerings WHAT HAPPENED? In a review of a FINRA disciplinary action, the SEC affirmed its zero-tolerance policy for general solicitations [...]