News & Insights: Flash Reports

More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.

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.

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Pirated copy of popular app being used to spread information-stealing malware

A popular app is being used to spread information-stealing malware. If you have questions about how to safeguard your business, Fairview can help.

SEC Proposes to Enhance Disclosures About ESG Investment Practices

The SEC proposed to enhance disclosures about ESG investment practices. If you have questions about ESG and your compliance program, Fairview can help.

QuickBooks Customers Targeted in Ongoing Series of Phishing Attacks

Fairview can help financial advisers develop policies to help prevent cyber attacks. If you have questions about your cyber policy, contact us.

The New Marketing Rule Part 5 – Challenges for Performance Advertising

The new SEC Marketing Rule provides new guidance on performance advertising. Find out what you need to know, and how it may impact your compliance program.

SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG

The SEC charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations.

The New Marketing Rule Part 4 – Implications for Social Media

The new SEC Marketing Rule may bring changes to RIAs’ compliance programs. If you have any questions or need help, contact Fairview.

April 2022 Cyber Recap

Technology like cryptocurrency and the ever-changing nature of threats from hackers require constant attention. If you have questions, contact Fairview.

The New Marketing Rule Part 3 – General Prohibitions

The new SEC Marketing Rule will bring changes to RIA compliance programs. If you have questions or need help navigating the new rule, contact us today.

The New SEC Marketing Rule Part 2 – What are Testimonials and Endorsements?

The new SEC Marketing Rule provides guidance on the usage of testimonials and endorsements. If you have questions about the rule, contact us today.

Did you know? Ransomware attack costs can be seven times higher than ransom

Collateral consequences of a ransomware attack include costs that are roughly seven times higher than the ransom demanded by the threat actors, according to a recent analysis conducted by researchers at Check Point.

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