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Fairview® Flash Reports 2022-06-23T12:19:24-04:00
Feb19, 2021

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

By | Feb 19th, 2021|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, Trading and Valuation, U.S. Securities and Exchange Commission|

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers WHAT HAPPENED? Recently, the Division of Enforcement of the U.S. Securities and Exchange Commission released a list of common compliance [...]

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 [...]