Overview:
During this webinar, some of Fairview’s regulatory experts will cover background, regulatory considerations, recent enforcement actions, SEC sample requests, and tips for strengthening your compliance program.
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Overview:
This webinar will cover the SEC’s recently adopted amendments to Regulation S-P, which, for the first time, formally requires covered entities to implement and maintain a vendor management program, among other cyber-related requirements. Investment Adviser Association (IAA) Associate General Counsel William Nelson will join Fairview regulatory experts to discuss:
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Overview:
During this webinar, some of Fairview’s regulatory experts provide a detailed overview of the Quarterly Statement requirements by offering specific guidance on the rule, such as:
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Overview:
During this webinar, Fairview’s regulatory experts provide a detailed overview of the Restricted Activities and Preferential Treatment requirements by offering specific guidance on the rules, such as what kinds of activities are restricted or preferential, and how to comply; examples of material negative effects; guidance on the notice and consent requirements; and more.
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Overview:
As the use of Artificial Intelligence (AI) continues to rise, investment advisers are eager to take advantage of its many benefits. At the same time, regulators have begun to act, with new proposed rules and AI-related questions on SEC Exams. This webinar covers the basics of AI, regulatory considerations, and tips for how advisers can take advantage of AI.
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Overview:
During this webinar, our team of regulatory experts go into detail on the SEC’s recently adopted amendments to Form PF and provide guidance on how you should prepare for compliance with these enhancements—which should be done now so you can continue to focus on the sweeping private fund reforms.
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Overview:
This webinar covers legal and compliance considerations such as the Restricted Activities Rule, Legacy Status, the Preferential Treatment Rule, as well as next steps for private fund advisers.
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Overview:
During the webinar, our team of regulatory experts go into detail on the SEC’s Division of Examinations Risk Alert regarding the security of customer information at branch offices maintained by broker-dealers and investment advisers. They will also review best practices for both remote offices and remote employees.
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Overview:
This webinar covers cyber sweep exams basics; sample request lists; how you can prepare; and best practices.
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Overview:
During this webinar our team of regulatory experts discuss what the New Proxy Rule is, how it affects new filers and current filers, the timing of the rule, how to prepare, and future considerations.
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Overview:
In this webinar our team covers several topics related to cybersecurity and the U.S. Security and Exchange Commission (SEC) including pen tests, internal and external scans, access reviews, tabletop exercises, the dark web, and MFA vs. 2FA.
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Overview:
During the webinar, our team of regulatory experts discuss details of the proposed rule, associated changes, and what RIAs can do to begin to prepare for compliance.
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