Flash Reports | Page 21 of 26 | Fairview Investments

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.

Flash Reports
03 Sep, 2026

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

Flash Reports
27 Nov, 2020

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.

Flash Reports
22 Oct, 2020

Are your documents and website up to ADA standards?

The Americans with Disabilities Act of 1990 (ADA) lays out guidelines for how to make documents widely accessible. Learn more about how we can help.

Does your firm include text messages in its recordkeeping?

If your firm conducts any business via text message, all electronic records should be maintained on a secure archival platform and be easily retrievable.

CCO faces $45,000 fine after falsifying documentation

Recently, a dually registered investment adviser and broker-dealer, and its former Chief Compliance Officer, were charged and fined by the SEC.

Flash Reports
17 Sep, 2020

How to Identify and Avoid Vishing and Smishing Attacks

Social engineering schemes include vishing and smishing; these schemes are becoming more common among employees who use personal devices for work. Fortunately, there are steps your organization can take to remain aware and vigilant about evolving social engineering attack risks.

Flash Reports
04 Sep, 2020

Are your firm’s electronic records secure by SEC standards?

In recent years, the SEC has heightened its emphasis on cybersecurity requirements for firms. Routine examinations now often involve in-depth requests for information on firms’ cyber and data security practices, which are areas of evolving risk for all market participants.

Flash Reports
26 Aug, 2020

5 Ways to Strengthen Your Firm’s Vendor Management Program

If a vendor has weak security measures, your firm or client information could be at risk if bad actors successfully compromise this third party’s system. Proactively reviewing and vetting vendors’ cybersecurity policies and procedures is an effective way to block potential data theft.

Open-End Funds: Proposed Amendments to Reporting and Disclosure Requirements

The SEC proposed a new set of amendments to mutual fund and exchange-traded fund disclosure requirements. The package includes, among other things, changes to visual presentation requirements and the disclosure framework for open-end fund shareholder documents.

Flash Reports
28 Jul, 2020

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.

SEC Proposes Changes to Form 13F

Proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.