Fairview Webinar List

2024 Webinars

The SEC’s Amendments to Regulation S-P to Enhance Protection of Customer Information 

Overview:

This webinar will cover the SEC’s recently adopted amendments to Regulation S-P, which, for the first time, formally requires covered entities to implement and maintain a vendor management program, among other cyber-related requirements. Investment Adviser Association (IAA) Associate General Counsel William Nelson will join Fairview regulatory experts to discuss:

  • A detailed overview of the finalized amendments;
  • Who must comply and by when; and
  • Tips for preparing for compliance.

Click here to watch the full webinar.

Private Fund Reforms: Quarterly Statement Rule

Overview:

During this webinar, some of Fairview’s regulatory experts provide a detailed overview of the Quarterly Statement requirements by offering specific guidance on the rule, such as:

  • How to disclose fund-level and investment-level fees and expenses;
  • Calculating performance under the Quarterly Statement Rule and the SEC’s recent guidance on performance calculations for marketing private funds;
  • Decision making around consolidated reporting; and more.

Click here to watch the full webinar.

Private Fund Reform – Restricted Activities and Preferential Treatment: A Deep Dive

Overview:

During this webinar, Fairview’s regulatory experts provide a detailed overview of the Restricted Activities and Preferential Treatment requirements by offering specific guidance on the rules, such as what kinds of activities are restricted or preferential, and how to comply; examples of material negative effects; guidance on the notice and consent requirements; and more.

Click here to watch the full webinar.

An Adviser’s Guide to AI: What it is, the SEC’s Proposed Predictive Analytics Rules, and How to use it

Overview: 

As the use of Artificial Intelligence (AI) continues to rise, investment advisers are eager to take advantage of its many benefits. At the same time, regulators have begun to act, with new proposed rules and AI-related questions on SEC Exams. This webinar covers the basics of AI, regulatory considerations, and tips for how advisers can take advantage of AI.

Click here to watch the full webinar.


2023 Webinars

Private Fund Advising: Prepare for Form PF Changes

Overview: 

During this webinar, our team of regulatory experts go into detail on the SEC’s recently adopted amendments to Form PF and provide guidance on how you should prepare for compliance with these enhancements—which should be done now so you can continue to focus on the sweeping private fund reforms.

Click here to watch the full webinar.

The New Private Fund Rules—Legal and Compliance Considerations

Overview: 

This webinar covers legal and compliance considerations such as the Restricted Activities Rule, Legacy Status, the Preferential Treatment Rule, as well as next steps for private fund advisers.

Click here to watch the full webinar.

Best Practices for Remote Offices and Employees

Overview: 

During the webinar, our team of regulatory experts go into detail on the SEC’s Division of Examinations Risk Alert regarding the security of customer information at branch offices maintained by broker-dealers and investment advisers. They will also review best practices for both remote offices and remote employees.

Click here to watch the full webinar.

How to Prepare for a Cyber Sweep Exam

Overview: 

This webinar covers cyber sweep exams basics; sample request lists; how you can prepare; and best practices.

Click here to watch the full webinar.

Fairview and FilePoint Joint Webinar: The SEC’s New Proxy Rule: What it is, and How to Prepare

Overview:

During this webinar our team of regulatory experts discuss what the New Proxy Rule is, how it affects new filers and current filers, the timing of the rule, how to prepare, and future considerations.

Click here to watch the full webinar.

Key Cyber Terms All RIAs Should Know

Overview:

In this webinar our team covers several topics related to cybersecurity and the U.S. Security and Exchange Commission (SEC) including pen tests, internal and external scans, access reviews, tabletop exercises, the dark web, and MFA vs. 2FA.

Click here to watch the full webinar.

The SEC Proposed Cybersecurity Risk Management and Outsourcing Rule 

Overview:

During the webinar, our team of regulatory experts discuss details of the proposed rule, associated changes, and what RIAs can do to begin to prepare for compliance.

Click here to watch the full webinar.