News & Insights: Amber Allen

In addition to serving as General Counsel and EVP of Fairview, Amber also serves as President of the firm’s Cyber Solutions practice.

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.

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks

Credential stuffing may lead to clients being in danger of loss of assets or public exposure of sensitive information.

How to Identify and Avoid Vishing and Smishing Attacks

Social engineering schemes include vishing and smishing; these schemes are becoming more common among employees who use personal devices for work. Fortunately, there are steps your organization can take to remain aware and vigilant about evolving social engineering attack risks.

Are your firm’s electronic records secure by SEC standards?

In recent years, the SEC has heightened its emphasis on cybersecurity requirements for firms. Routine examinations now often involve in-depth requests for information on firms’ cyber and data security practices, which are areas of evolving risk for all market participants.

5 Ways to Strengthen Your Firm’s Vendor Management Program

If a vendor has weak security measures, your firm or client information could be at risk if bad actors successfully compromise this third party’s system. Proactively reviewing and vetting vendors’ cybersecurity policies and procedures is an effective way to block potential data theft.

Are You Taking Steps To Avoid Ransomware Attacks?

Earlier this month, the OCIE issued a Risk Alert which outlines best practices for maintaining a secure network; the CISA issued a similar alert addressing recent phishing and ransomware risks across the financial industry and beyond.

New Security Feature for Web CRD and IARD Systems

For Administrators on FINRA’s Web CRD or IARD platforms, a new security feature is now required as part of the login process. Contact us with questions.

Look for Fairview at the NSCP National Conference

Oct. 19-21, 2020, the NSCP will hold its annual national conference virtually. In addition to sponsoring the event, Fairview’s Vice President and General Counsel, Amber Allen, will lend her expertise to the conference, speaking on “Evolving Custody Responsibilities.”

The CCPA Enforcement Date Is Approaching: What You Should Know

July 1, 2020, the California Consumer Privacy Act (CCPA) enforcement date is fast approaching. The original adoption of the regulations, on Jan. 1 of this year, contained a six-month enforcement delay.

Six Ways to Help Protect Your Firm from a Cybersecurity Breach

Between the changes in our work devices and the large influx of pandemic-related news, many emerging vulnerabilities exist in companies’ data security landscapes.

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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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