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 [...]

2023 IARD Annual Renewal Message What's coming up soon? Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for [...]

CISA Issues Guidance on Numbers Matching and Phishing-Resistant Multifactor Authentication What happened? The Cybersecurity and Infrastructure Security Agency (“CISA”) published two fact sheets on October 31, 2022, outlining the [...]

SEC Proposes New Rule on Outsourcing by Investment Advisers What happened? On Wednesday, Oct. 26, 2022, the Securities and Exchange Commission (SEC) proposed a new rule and amendments regarding [...]

Typosquat Campaign Mimics 27 Brands to Push Windows, Android Malware What happened? A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to [...]

Electronic Communications Recordkeeping: SEC Examination Requests What happened? After landmark penalties against 16 Wall Street Firms, the message is clear: firms are expected to abide by the U.S. Securities [...]

Uber’s 2016 Data Breach Cover-Up Results in Former Security Chief’s Conviction What happened? On Wednesday, Oct. 5, 2022, Joe Sullivan, former chief security officer for Uber, was convicted on [...]

SEC Reopens Comment Periods for Cybersecurity, ESG, and More What happened? In a surprising development, the U.S. Securities and Exchange Commission (SEC) announced that they would reopen the comment [...]

Cybersecurity Awareness Month: Four Things You Can Do Cyberattacks are now seen as the biggest risk to businesses – outranking COVID-19, economic turmoil, skills shortages, and other issues, according [...]

16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures What happened? On Sept. 27, 2022, the Securities and Exchange Commission (“SEC”) charged 15 broker-dealers and one [...]