Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
Today, after years of steady growth, Fairview has unveiled a new brand that aligns more closely with the company Fairview is today.
The SEC charged Goldman Sachs Asset Management, LP, with maintaining inadequate and inaccurate policies governing its ESG investment strategies.
Firms must conduct an annual retrospective review, NSCP Currents provides perspective on the annual retrospective review for exemptive relief under PTE 2020-02.
On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments.
Investment advisers can no longer choose to comply with previous advertising and cash solicitation rules following the Nov. 4, 2022, compliance deadline for the new Marketing Rule, rule 206(4)-1, under the Advisers Act.
Amber Allen, was elected to the Board of Directors of the NSCP to serve up to a three-year term through 2025.
Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for system processing and jurisdiction-related renewals.
The CISA published two fact sheets on October 31, 2022, outlining the dangers to accounts and systems when applying specific types of MFA.
On Wednesday, Oct. 26, 2022, the SEC proposed a new rule and amendments regarding the due diligence of service providers.
A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to push Windows and Android malware.
After landmark penalties against 16 Wall Street Firms, the message is clear: firms are expected to abide by the SEC recordkeeping rules, especially around communication.