News & Insights: CyberSecurity

Risk Alert: Uptick in Phishing Reports

Fairview is noticing an uptick in phishing reports by clients. There are several different forms of phishing that have emerged with the development of new kinds of technology and social media.

Read More

Avoid the risk of using common passwords– make your accounts more secure today

Password spray attacks target user accounts by attempting to access hundreds of thousands of accounts with the same common password at once, instead of testing many password combinations on a single account.

Are You Taking Steps To Avoid Ransomware Attacks?

Earlier this month, the OCIE issued a Risk Alert which outlines best practices for maintaining a secure network; the CISA issued a similar alert addressing recent phishing and ransomware risks across the financial industry and beyond.

The CCPA Enforcement Date Is Approaching: What You Should Know

July 1, 2020, the California Consumer Privacy Act (CCPA) enforcement date is fast approaching. The original adoption of the regulations, on Jan. 1 of this year, contained a six-month enforcement delay.

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

OCIE released a Risk Alert outlining common compliance observations among investment companies, money market funds, and target date funds. The alert outlines general weaknesses and deficiencies that OCIE staff noticed during recent examinations.

OCIE Warns of Cloud-Based Server Security Risks

OCIE discovered several security risks related to the storage of customer information by broker-dealers and advisers, particularly related to the use of cloud-based servers. The primary risk was found to stem from firms choosing not to utilize available security features on storage platforms.

OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues

Regulation S-P requires registered investment advisers, investment companies, and broker-dealers to provide notice to customers and maintain written records of policies and procedures related to information privacy.

FINRA Releases Report on Selected Cybersecurity Practices

On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a Report on Selected Cybersecurity Practices (the “2018 Report”).  In it, FINRA outlines five topics of focus.

The National Institute for Standards and Technology Updates Cybersecurity Framework

The National Institute for Standards and Technology (NIST) released an updated version of its Cybersecurity Framework, known as version 1.1. 

SEC Office of Compliance Inspections and Examinations to Release New Cyber Exam Initiative

On March 22nd, Peter Driscoll, OCIE Director, announced plans for its third cybersecurity sweep exam in four years. The next cyber initiative will focus on advisers who maintain remote offices and advisers that have merged firms.

SEC Provides Updates from Investigation of 2016 Cyber Intrusion

The SEC provided an update on its ongoing staff investigation of the 2016 cyber intrusion into the EDGAR system.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

Stay up to date on the latest industry news and resources.

Filter by Topic

Filter by Category

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.

©2025 Fairview® Investment Services, LLC. All rights reserved.

1330 St. Mary’s St.
Suite 400
Raleigh, NC 27605

info@fairviewinvest.com
919.706.4100
FAX: 800.770.9925