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Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
SEC Risk Alert on Prevention of Identity Theft and Reg S-ID What happened? The Division of Examinations (“EXAMS”) issued a Risk Alert to assist firms with identity theft prevention [...]
Goldman Sachs Fined $4M for Policy Failures of ESG Investments What happened? On November 22, 2022, the U.S. Securities and Exchange Commission SEC charged Goldman Sachs Asset Management, LP [...]
The SEC's New Proxy Rule: What You Need to Know What happened? On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments that will [...]
SEC New Marketing Rule Compliance Date Reminder What happened? Reminder: As of Today, investment advisers can no longer choose to comply with previous advertising and cash solicitation rules following [...]
Fairview General Counsel Amber Allen Elected to the NSCP Board of Directors Amber Allen, who serves as the General Counsel and Executive Vice President of Fairview®, LLC, was elected to [...]