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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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.

New Security Feature for Web CRD and IARD Systems

For Administrators on FINRA’s Web CRD or IARD platforms, a new security feature is now required as part of the login process. Contact us with questions.

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.

Nine Things to Notice: SEC Examiners’ Focus Areas

As capital markets shift and the risks to market participants change, so do the focus areas of routine SEC exams.

LIBOR Transition Compliance Risks

On June 18, 2020, the OCIE announced an exam initiative and issued a subsequent Risk Alert about LIBOR transition preparedness.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.

Our Firm Filed Form CRS – What Now?

Retail advisers and their service providers have put much time and effort into understanding, writing, and filing the initial Form CRS document. The requirements related to the Form do not stop once the filing is complete; several additional steps must be taken after submitting the form to the SEC.

The CCPA Enforcement Date Is Approaching: What You Should Know

July 1, 2020, the California Consumer Privacy Act (CCPA) enforcement date is fast approaching. The original adoption of the regulations, on Jan. 1 of this year, contained a six-month enforcement delay.

Firm Misused MNPI, Ordered to Pay $1 Million

On May 26, 2020, the United States Securities and Exchange Commission released documentation detailing an enforcement action against a Los Angeles private equity firm and registered investment adviser, Ares Management, for its misuse of material nonpublic information (MNPI).

Adviser Fined $60,000 for Custody Rule Violation

On May 22, 2020, the SEC published information on an enforcement action against a registered investment adviser. The firm was investigated, and subsequently disciplined by the SEC for violating the Custody Rule.

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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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