Loading...
Home/Fairview® Flash Reports
Fairview® Flash Reports 2022-06-23T12:19:24-04:00
Nov11, 2020

OCIE examiners report common branch office compliance deficiencies

By | Nov 11th, 2020|Custody, Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, Trading and Valuation, U.S. Securities and Exchange Commission, Uncategorized|

OCIE examiners report common branch office compliance deficiencies WHAT HAPPENED? On Nov. 9, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) [...]

Sep22, 2020

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks

By | Sep 22nd, 2020|Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, Technology, U.S. Securities and Exchange Commission|

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks WHAT HAPPENED? Earlier this month, the Office of Compliance Inspections and Examinations of the United States Securities and Exchange Commission [...]

Aug18, 2020

Newly Identified Compliance Risks Due to COVID-19: What You Should Know

By | Aug 18th, 2020|Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, Registration, Disclosure and Filing Requirements, Technology, U.S. Securities and Exchange Commission|

Newly Identified Compliance Risks Due to COVID-19: What You Should Know WHAT HAPPENED? Last week, the Office of Compliance Inspections and Examinations of the United States Securities and Exchange [...]