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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Risk Alert on MNPI

Restrictions on the use of material non-public information are one of the cornerstones of the SEC’s regulatory framework.

IMPORTANT : PHISHING ALERT, Message Posing as FINRA Deficiency Letter with Malicious Links or Attachments

A message posting as a FINRA deficiency letter includes malicious links. Messages refer to a potentially malicious attachment and may reference “Deficiency Letters.”

Recent Cyber Attacks Prove that MFAs are not All Created Equal

Multi-factor authentication can help safeguard against cybser security attacks, but some MFAs are better than others.

The New Marketing Rule: Part 1 – What is an Ad?

On December 22, 2020, the SEC passed amendments to the advertising and cash solicitation rules, along with updates to other requirements for registered investment advisers. The new SEC Marketing Rule provides more details on what constitutes an ad.

Reminder: Annual Form PF filing Due April 30, 2022

Although IARD/PFRD is scheduled to be available Saturday the 30th, we recommend filing be completed by April 29th.

March 2022 Cyber Recap

Significant changes are on the horizon for cybersecurity requirements for investment advisers and other companies in critical infrastructure.

2022 SEC Examination Priorities ESG, Private Funds, Data Security, and Digital Assets

On March 30, 2022, the Division of Examinations (the Division) published its 2022 Examination Priorities.  These annual priorities highlight practices, products, and services that present heightened risks to investors or U.S capital markets.

Shocking Recension and Amendment of the Proxy Adviser Rule Threatens Shareholder Democracy

In November 2021, the U.S. Securities and Exchange Commission’s (the “SEC” or “Commission”) proposed recensions and amendments to the proxy adviser rule under the Investment Advisers Act of 1940.

Adviser Charged with Failing to Disclose Fees and Expenses: Results in nearly $10 million in penalties and reimbursements

On December 20th, a private fund adviser, Global Infrastructure Management, LLC, was charged by the SEC for fee and expense disclosure failures.

CISA Issues “Shields Up” Advisory

CISA issued a “Shields Up” message to every U.S. organization in response to Russia’s unprovoked attack on Ukraine.

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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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