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Home/Fairview® Flash Reports
Fairview® Flash Reports 2020-03-20T18:24:40+05:00
Jul22, 2021

The SEC’s Latest Exam and Request List Trends

By | Jul 22nd, 2021|Books and Records, Custody, Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Mutual Fund and Institutional Issues, Privacy, Cybersecurity, and Regulation S-ID, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

The SEC’s Latest Exam and Request List Trends WHAT HAPPENED? With new SEC leadership in place, including Chairman Gary Gensler and Director of Enforcement Gurbir Grewal, the Commission’s examination [...]

Mar18, 2021

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

By | Mar 18th, 2021|AML, Books and Records, Custody, Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, Technology, Trading and Valuation, U.S. Securities and Exchange Commission|

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities WHAT HAPPENED? Digital assets continue to be a hot topic among regulators as these securities gain momentum in the [...]

Mar9, 2021

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?

By | Mar 9th, 2021|Fairview® Flash Reports, Marketing and Social Media, Registration, Disclosure and Filing Requirements, Solicitation, U.S. Securities and Exchange Commission|

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now? WHAT HAPPENED? On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was [...]