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Fairview® Flash Reports 2020-03-20T18:24:40+05:00
Dec23, 2020

The SEC’s New Marketing Rule: Here’s What You Should Know Now

By | Dec 23rd, 2020|Fairview® Flash Reports, Marketing and Social Media, Registration, Disclosure and Filing Requirements, Solicitation, Technology, U.S. Securities and Exchange Commission|

The SEC’s New Marketing Rule: Here’s What You Should Know Now WHAT HAPPENED? On Dec. 22, 2020, the U.S. Securities and Exchange Commission unanimously voted to pass proposed amendments to [...]

Dec17, 2020

2020 Compliance Round Up: The Top 10 Regulatory Headlines for Investment Advisers This Year

By | Dec 17th, 2020|Enforcement, Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, Registration, Disclosure and Filing Requirements, Solicitation, Technology, U.S. Securities and Exchange Commission|

2020 Compliance Round-Up: The Top 10 Regulatory Headlines for Investment Advisers This Year WHAT HAPPENED? Amid the unique changes and challenges 2020 has brought, there has been plenty of [...]

Nov20, 2020

OCIE Risk Alert: common compliance program issues

By | Nov 20th, 2020|Books and Records, Custody, Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, Registration, Disclosure and Filing Requirements, Solicitation, Trading and Valuation, U.S. Securities and Exchange Commission|

OCIE Risk Alert: common compliance program issues WHAT HAPPENED? On Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) released [...]

Nov11, 2020

OCIE examiners report common branch office compliance deficiencies

By | Nov 11th, 2020|Custody, Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, Trading and Valuation, U.S. Securities and Exchange Commission, Uncategorized|

OCIE examiners report common branch office compliance deficiencies WHAT HAPPENED? On Nov. 9, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) [...]