News & Insights

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

News
03 Apr, 2023

New Brand; Same Ownership and Same Quality, Tailored Services

Today, after years of steady growth, Fairview has unveiled a new brand that aligns more closely with the company Fairview is today.

Flash Reports
01 Dec, 2022

Goldman Sachs Fined $4M for Policy Failures of ESG Investments

The SEC charged Goldman Sachs Asset Management, LP, with maintaining inadequate and inaccurate policies governing its ESG investment strategies.

Flash Reports
21 Nov, 2022
Amber Allen

NSCP Currents: PTE 2020-02 Retrospective Reviews

Firms must conduct an annual retrospective review, NSCP Currents provides perspective on the annual retrospective review for exemptive relief under PTE 2020-02.

The SEC’s New Proxy Rule: What You Need to Know

On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments.

SEC New Marketing Rule Compliance Date Reminder

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.

News
04 Nov, 2022
Amber Allen

Fairview General Counsel Amber Allen Elected to the NSCP Board of Directors

Amber Allen, was elected to the Board of Directors of the NSCP to serve up to a three-year term through 2025.

2023 IARD Annual Renewal Message

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.

Flash Reports
02 Nov, 2022
Amber Allen

CISA Issues Guidance on Numbers Matching and Phishing-Resistant Multifactor Authentication

The CISA published two fact sheets on October 31, 2022, outlining the dangers to accounts and systems when applying specific types of MFA.

SEC Proposes New Rule on Outsourcing by Investment Advisers

On Wednesday, Oct. 26, 2022, the SEC proposed a new rule and amendments regarding the due diligence of service providers.

Flash Reports
28 Oct, 2022
Amber Allen

Typosquat Campaign Mimics 27 Brands to Push Windows, Android Malware

A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to push Windows and Android malware.

Electronic Communications Recordkeeping: SEC Examination Requests

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.