News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

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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OCIE Risk Alert: common compliance program issues

OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.

Performance Practice Leader of Fairview Appointed to CFA Institute’s ESG Verification Subcommittee

CFA Institute issued a Consultation Paper on the Development of ESG Disclosure Standards for Investment Products. The ESG Verification Subcommittee will work to develop content specific to verifiers who provide independent, third-party examination of the investment products to which the standards are applied.

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.

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.

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.

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.

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.

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Fairview

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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