Loading...
Home/Fairview Flash Reports
Fairview Flash Reports 2017-07-11T18:28:06+00:00
Sep15, 2017

OCIE Announces Most Frequent Advertising Rule Risks Identified in Examinations

By | Sep 15th, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, U.S. Securities and Exchange Commission|

OCIE Announces Most Frequent Advertising Rule Risks Identified in Examinations WHAT HAPPENED? On September 14, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) announced the most frequent compliance [...]

Sep8, 2017

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients

By | Sep 8th, 2017|Enforcement, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Trading and Valuation, U.S. Securities and Exchange Commission|

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients WHAT HAPPENED? On August 31, 2017, the SEC charged an investment adviser and its principal (collectively, the “Defendant”) with misleading [...]

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 [...]