Flash Reports | Page 8 of 41 | 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.

CyberSecurity
22 Oct, 2024

SEC Charges for Misleading Cyber Disclosures

On October 22, 2024, the SEC announced charges against four current and former public companies for “making materially misleading disclosures regarding cybersecurity risks and intrusions”, according to a SEC press release.

2025 Examination Priorities Published by SEC Division of Exams

On October 21, 2024, the SEC’s Division of Examinations (“EXAMS”) published its 2025 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and this fiscal year marks the 30th anniversary of the creation of the Division of Examinations, originally established as the Office of Compliance Inspections and Examinations.

Flash Reports
18 Oct, 2024

Reminder: Plan for Amended Regulation S-P in 2025 Budget Planning

As we near budget planning season for many firms, large entities in particular (including RIAs with $1.5 billion or more in AUM) should be sure to account for costs that may be associated with complying with Amended Regulation S-P.

SEC Charges Adviser for Making False and Misleading Statements About Use of Artificial Intelligence

What happened? On October 10, 2024, The SEC announced charges against Rimar Capital USA, Inc. […]

Here Comes Form SHO

January 2025 is the first month that must be monitored, and if thresholds are crossed then the first Form SHO filing will be due February 14, 2025.

Flash Reports
04 Oct, 2024

SEC to Hold Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

On September 20, 2024, the SEC announced that it will host a virtual seminar for investment companies and investment advisers on Nov. 7, 2024.

Books & Records
24 Sep, 2024

SEC Fines 11 Firms Over $88 Million for Recordkeeping Violations

On September 24, 2024, the SEC announced charges against 12 firms, including broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for “widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communication in violation of recordkeeping provisions of the federal securities laws,” according to a SEC press release.

Artificial Intelligence
17 Sep, 2024

Illinois Passes New Law to Address AI in the Workplace

On August 9th, 2024, Illinois Governor, J.B. Pritzker signed a law into effect that addressed employers’ use of artificial intelligence (“AI”). Illinois joins New York City and Colorado in passing laws governing employers’ requirements when using AI to make decisions regarding employment.

SEC Charges Advisory Firm for Failure to Timely Distribute Audited Financial Statements and for the Use of Misleading Hedge Clauses

On September 3, 2024, the SEC announced charges against ClearPath Capital Partners, LLC, for failing to comply with rules governing the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements.

SEC Charges BD and Affiliated IAs with Violating Whistleblower Protection Rule

What happened? On September 4, 2024, the SEC announced settled charges against three affiliated registrants, […]