Flash Reports | Page 27 of 43 | 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.

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

OCIE examiners report common branch office compliance deficiencies

The OCIE released a new Risk Alert outlining recent observations from examinations of SEC-registered investment advisers.

New Investment Company Act rule updates regulatory requirements for fund of funds arrangements

Recently, the SEC adopted a new rule and related amendments regarding fund of funds arrangements. Rule 12d1-4, aims to streamline a comprehensive regulatory approach to these arrangements.

Flash Reports
04 Nov, 2020

IARD Annual Renewal Dates

Every year at this time, FINRA will post its Renewal Statements in the IARD Portal.

Reminder: Upcoming SEC Compliance Outreach Seminar

The seminar will focus on providing resources to Chief Compliance Officers and other senior members of registered investment advisers and investment companies.

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.

Flash Reports
15 Oct, 2020

SEC proposes exemption for finders helping small businesses raise capital

The SEC proposed a conditional exemption allowing certain market participants to be exempted from registering as brokers under federal securities laws.

Flash Reports
09 Oct, 2020
Amber Allen

ALERT: Phishing Attack Posing as FINRA Survey

The OCIE was recently made aware of a phishing attempt which could affect broker-dealers, investment advisers, and investment companies.

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
22 Sep, 2020
Amber Allen

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks

Credential stuffing may lead to clients being in danger of loss of assets or public exposure of sensitive information.

News & Insights: Flash Reports

Compliance Year in Review 2024

OCIE examiners report common branch office compliance deficiencies

New Investment Company Act rule updates regulatory requirements for fund of funds arrangements

IARD Annual Renewal Dates

Reminder: Upcoming SEC Compliance Outreach Seminar

Are your documents and website up to ADA standards?

SEC proposes exemption for finders helping small businesses raise capital

ALERT: Phishing Attack Posing as FINRA Survey

Does your firm include text messages in its recordkeeping?

CCO faces $45,000 fine after falsifying documentation

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks

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