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Fairview® Flash Reports 2020-03-20T18:24:40+05:00
Jan31, 2020

What Does OCIE Look for When Examining Cybersecurity Practices?

By | Jan 31st, 2020|Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, U.S. Securities and Exchange Commission|

What Does OCIE Look for When Examining Cybersecurity Practices? WHAT HAPPENED? In recent years, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission made [...]

Jan8, 2020

OCIE Releases 2020 Examination Priorities

By | Jan 8th, 2020|AML, Enforcement, Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, Registration, Disclosure and Filing Requirements, Technology, U.S. Securities and Exchange Commission|

OCIE Releases 2020 Examination Priorities WHAT HAPPENED? On Jan. 7, 2020, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (OCIE) released its 2020 Examination [...]

Nov20, 2019

OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues

By | Nov 20th, 2019|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues WHAT HAPPENED? On Nov. 7, 2019, the Office of Compliance Inspections and Examinations [...]

Nov5, 2019

SEC Proposes Changes to Advertising and Solicitation Rules

By | Nov 5th, 2019|Fairview® Flash Reports, Marketing and Social Media, Registration, Disclosure and Filing Requirements, Solicitation, U.S. Securities and Exchange Commission, Uncategorized|

SEC Proposes Changes to Advertising and Solicitation Rules WHAT HAPPENED? On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation [...]