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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SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

The SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

SEC Exams Now Focusing on Firms’ Pandemic Plans

In response to the pandemic, the SEC has a heightened focus on firms’ business continuity planning and practices.

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

While the international COVID-19 outbreak continues to affect the lives of the world’s citizens and, by extension, the United States’ securities infrastructure, the SEC is taking steps to provide relief to firms and funds through delays in form filing and document delivery obligations.

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC remains focused on maintaining a fair and orderly market and continuing its operations. The Commission has transitioned most of its staff to work remotely and conducts remote exams and enforcement.

COVID-19: What Financial Regulatory Bodies Are Saying

The financial industry continues to be affected by COVID-19, leading regulatory bodies to release statements and act on this matter in multiple capacities. Below is a summary of how some organizations are responding to COVID-19 concerns.

How to Plan for a Pandemic

Health officials worldwide are monitoring a respiratory illness outbreak caused by a new coronavirus named COVID-19.

Exam Takeaways: Five Facts About Recent Examination Practices

When the SEC starts an examination of your firm, it is very important to be prepared for possible timeframes and requests. read our flash report to learn about some patterns from the SEC’s examination tactics in the last year.

Form CRS: The Latest Tips for Preparing – UPDATE!

On Feb. 11, 2020, the SEC released a new Frequently Asked Questions about Form CRS. Among other helpful information, the FAQs address that adviser affiliates of a registered adviser may jointly file a four-page Form rather than a two-page disclosure.

Exam Takeaways: SEC and DOL Joint Exams

Regulatory requirements and expectations for firms are constantly evolving; with that, examination practices are changing as well. An emerging approach to routine examinations includes exam teams from both the Securities and Exchange Commission and the Department of Labor collaborating on the examination.

SEC Requirement: Annual Amendment for Form ADV 2020

The SEC requires that investment advisers file a Form ADV Annual Amendment within 90 days of the end of the Adviser’s fiscal year.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

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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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