News & Insights: Amber Allen

In addition to serving as General Counsel and EVP of Fairview, Amber also serves as President of the firm’s Cyber Solutions practice.

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

The SEC adopted amendments to Regulation S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program that are designed to detect, respond, and recover from unwarranted access or use of client information.

NSCP Currents: The SEC’s Private Fund Rules: What Advisers Need to Know

On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new rules (Adopting Release) for private fund advisers under the Investment Advisers Act of
1940, as amended (Advisers Act).

Podcast: New SEC Private Funds Rules – What Is Happening and What You Need to Know

Podcast: New SEC Private Funds Rules- On August 23, the SEC finalized the Private Funds Rules, which aim to enhance the protections afforded to investors in private funds that are managed by private fund advisers.

RIA Glossary of Cyber Terms

Use this term to brush up on key terms that may appear in your next SEC cybersecurity exam.

SEC Reopens Public Comment on The Cybersecurity and Risk Management Rule and Proposes Changes to Reg S-P to Enhance Protection of Customer Information

On Wednesday, March 15, the SEC held an opening meeting and announced three proposed rules touching on cybersecurity and also reopened its proposed Cybersecurity Risk Management Rule for more public commentary

Fairview Webinar: The SEC’s Proposed Cybersecurity Risk Management Rule and The Proposed Outsourcing Rule Presentation

Fairview’s team of regulatory experts discuss details of the proposed rule, associated changes, and what RIAs can do to begin to prepare for compliance.

NSCP Currents: Outsourcing to Service Providers

Nearly all firms utilize service providers in the usual course of business. It has been a clear regulatory prerogative to perform due diligence on critical service providers for many years.

SEC Expected to Finalize Cybersecurity Rule Spring 2023

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

SEC Risk Alert on Prevention of Identity Theft and Reg S-ID

The Division of Examinations (“EXAMS”) issued a Risk Alert to assist firms with identity theft prevention programs required under Regulation S-ID.

NSCP Currents: PTE 2020-02 Retrospective Reviews

Firms must conduct an annual retrospective review, NSCP Currents provides perspective on the annual retrospective review for exemptive relief under PTE 2020-02.

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Fairview

Fairview has been providing streamlined solutions to providers in the financial services industry since 2005. We are part of ViewPoint Partners, our employee-owned parent company for both Fairview and FilePoint, which provides regulatory reporting solutions for registered investment companies.

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