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Fairview® Flash Reports 2022-07-20T13:30:42-04:00

Stay to up to date on trends and breaking news impacting financial services and compliance, performance, risk and cybersecurity.

Apr28, 2022

Risk Alert on MNPI

By | Apr 28th, 2022|News|

Risk Alert on MNPI What happened? Restrictions on the use of material non-public information (“MNPI”) are one of the cornerstones of the SEC’s regulatory framework. The Division of Examinations (“EXAMS”) [...]

Apr6, 2022

March 2022 Cyber Recap

By | Apr 6th, 2022|CyberSecurity, News|

March 2022 Cyber Recap WHAT HAPPENED? Significant changes are on the horizon for cybersecurity requirements for investment advisers and other companies in critical infrastructure. March 9th, 2022: On March 9th, 2022, the [...]

Mar1, 2022

CISA Issues “Shields Up” Advisory

By | Mar 1st, 2022|CyberSecurity, News|

CISA Issues “Shields Up” Advisory WHAT HAPPENED? The Cybersecurity & Infrastructure Security Agency’s (“CISA”) issued a “Shields Up” message to every U.S. organization in response to Russia’s unprovoked attack on [...]

Feb28, 2022

SEC Exam Trends

By | Feb 28th, 2022|News|

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined as the Retail Investment Company Initiatives (RIC), which focused on mutual funds and exchange-traded funds (ETFs). [...]

Feb23, 2022

Cybersecurity Risk Management

By | Feb 23rd, 2022|CyberSecurity, News|

Cybersecurity Risk Management WHAT HAPPENED? On February 9th, 2022, the SEC announced its proposed rule 206(4)-9 under the Advisers Act and new rule 38a-2 under the Investment Company Act (collectively, the [...]

Feb21, 2022

SEC Proposes Reforms for Private Funds

By | Feb 21st, 2022|News|

SEC Proposes Reforms for Private Funds WHAT HAPPENED? On February 9, 2022, the United States Securities and Exchange Commission voted to propose new rules and amendments to enhance the regulation of private [...]

Jan20, 2022

Phishing Via Gmail Accounts

By | Jan 20th, 2022|CyberSecurity, News|

Phishing Via Gmail Accounts WHAT HAPPENED? A survey conducted by Barracuda surveyed 10,500 organizations and found that 35% of them had at least one bait attack email in September 2021 alone. Bait [...]