News & Insights: CyberSecurity

Stay Vigilant to Help Prevent Cyberattacks During the Holidays

Cybercrimes tend to increase during the holiday season, as malicious actors take advantage of the increased employee travel and distractions that are more common during the holiday season. To help protect from cyberattacks during the busy holiday season, the FBI and CISA compiled several recommendations that employees can take now to prevent from these kinds of attacks.

Read More

Stay Vigilant to Help Prevent Cyberattacks During the Holidays

Cybercrimes tend to increase during the holiday season, as malicious actors take advantage of the increased employee travel and distractions that are more common during the holiday season. To help protect from cyberattacks during the busy holiday season, the FBI and CISA compiled several recommendations that employees can take now to prevent from these kinds of attacks.

The New York State Department of Financial Services Adopts Amendments to Strengthen Cybersecurity Regulations

Last week, the New York State Department of Financial Services (NYDFS) finalized amendments to its 2018 regulations on cybersecurity to enhance cybersecurity governance, mitigate risks, and protect New York businesses and consumers from cyber threats.

SEC Cyber Oversight 2024 Exam Priorities

On October 16th, 2023 the SEC Division of Examinations announced its 2024 exam priorities. The 2024 examination priorities allows investors and registrants to be aware of key risks, examination topics, and priorities of the Division in the upcoming year.

All About the ‘Ishing’

By now, many of us are aware of the term “phishing,” but many may not be familiar with all of the different forms of “ishing,” that have emerged with the development of new kinds of technology and social media.

SEC Charges 10 More Firms for Off-Channel Communication Failures

On September 29, 2023, the SEC charged five broker-dealers, three dual registrants, and two affiliated investment advisors with “widespread and longstanding failures to maintain and preserve electronic communications,” according to the SEC’s press release. The ten firms will pay combined penalties of $79 million. Each firm was also censured and served a cease-and-desist order.

SEC Wells Notice Underscores Shift in Responsibility for Cyber Attacks

The SEC recently issued a Wells Notice to SolarWinds executives, representing a seismic shift in accountability from conventional targets, to also include those responsible for overseeing cyber and data security programs, as evidenced by its explicit reference to the SolarWinds chief information security officer.

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.

Risk and Financial Advisory Solutions Hit with SMS (2FA) Swap Attack

On Saturday, August 19, 2023, a Kroll employee fell victim to a sophisticated “SIM swapping” cyber-attack, targeting their T-Mobile US., Inc. account. This attack involved the transfer of the Kroll employee’s phone number by T-Mobile to the threat actor’s device at their request.

SEC Proposes New Requirements to Mitigate Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

The SEC states a “covered technology” includes a broker-dealer or investment advisers’ “use of analytical, technological, or computational functions algorithms, models, correlation matrices, or similar methods or processes that optimize for, predict, guide, forecast, or direct investment-related behaviors or outcomes of an investor”.

SEC Adopts Cyber Risk Management Rule for Public Companies

On July 26th, 2023, the SEC adopted rules requiring public companies “to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy, and governance”.

Filter by Topic

Click Below to View General Filing Deadlines and SEC Holidays

Interactive Calendar

2026 Downloadable Compliance Calendars

Downloadable Calendars

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

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.

©2026 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