Stay to up to date on trends and breaking news impacting financial services and compliance, performance, risk and cybersecurity.
Newly-Registered Advisers Risk Alert
Newly-Registered Advisers Risk Alert What happened? On March 27, 2023, the SEC’s Division of Exams (“EXAMS”) published a risk alert on observations from examinations of newly-registered advisers. In the [...]
NSCP Currents: Managing Third-Party Risk – Tips and Best Practices
NSCP Currents: Managing Third-Party Risk - Tips and Best Practices
SEC Reopens Public Comment on the Cybersecurity and Risk Management Rule and Proposes Changes to Reg S-P to Enhance Protection of Customer Information
SEC Reopens Public Comment on the Cybersecurity and Risk Management Rule and Proposes Changes to Reg S-P to Enhance Protection of Customer Information What happened? On Wednesday, March 15, [...]
Fairview Webinar: The SEC’s Proposed Cybersecurity Risk Management Rule and The Proposed Outsourcing Rule Presentation
Fairview's Webinar: The SEC’s proposed Cybersecurity Risk Management Rule and the proposed Outsourcing Rule
DOL’s Fiduciary Status for Rollovers Struck Down in District Court
DOL's Fiduciary Status for Rollovers Struck Down in District Court What happened? On February 13, 2023, the United States District Court’s Middle District of Florida (“the court”) struck down [...]
SEC Proposes Rule Changes Related to Custody of Client Assets
SEC Proposes Rule Changes Related to Custody of Client Assets What happened? On February 15, 2023, the SEC proposed rule changes intended to strengthen custody protections for client assets [...]
SEC Expected to Finalize Cybersecurity Rule Spring 2023
SEC Expected to Finalize Cybersecurity Rule Spring 2023 What happened? The U.S. Securities and Exchange Commission’s (SEC) first comprehensive cyber and data security proposal is expected to be finalized [...]
2023 SEC Examination Priorities: New Rules, Private Funds, Retail Investors and Working Families, ESG, Information Security, and Digital Assets
2023 SEC Examination Priorities: New Rules, Private Funds, Retail Investors and Working Families, ESG, Information Security, and Digital Assets What happened? On February 7, 2023, the SEC’s Division of [...]
SEC Revises Marketing FAQ to Address Private Fund Net Performance
SEC Revises Marketing FAQ to Address Private Fund Net Performance What happened? On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. [...]
NSCP Currents: Beatles, Buy-In, and Business Strategies: Simplifying the Process of Earning and Maintaining Employee Buy-In for Organizational Initiatives
NSCP Currents: Beatles, Buy-In, and Business Strategies: Simplifying the Process of Earning and Maintaining Employee Buy-In for Organizational Initiatives
SEC Risk Alert on Prevention of Identity Theft and Reg S-ID
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
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 [...]
NSCP Currents: PTE 2020-02 Retrospective Reviews
PTE 2020-02 Retrospective Reviews
The SEC’s New Proxy Rule: What You Need to Know
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
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
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 [...]