News & Insights: Cyber Solutions

Regulation S-P Overview

Regulation S-P became effective on November 13th, 2000, and requires financial institutions to provide notice to customers regarding the financial institution’s privacy policies; the condition under which they may disclose nonpublic personal information about consumers to nonaffiliated third parties; and provide an “opt out” method for consumers to prevent the financial institution from disclosing information.  

The SEC’s Updated, Aggressive Regulatory Agenda

On Wednesday, Dec. 6, the Securities and Exchange Commission (SEC) issued an updated regulatory agenda, which includes 12 investment management-related rule proposals that have yet to be adopted.

Ransomware Group Turns to SEC after Victim Denies Payment

After a ransomware gang broke into the systems of fintech platform MeredianLink, the gang did something quite unprecedented: they called the regulators

SEC AI Sweep Exams

Artificial intelligence (“AI”) sweep exams may be on the horizon for 2024. An examination document reviewed by Ignites stated that the SEC asked at least one firm to provide information regarding its AI policies and procedures.

Stay Vigilant to Help Prevent Cyberattacks During the Holidays

Cybercrimes tend to increase during the holiday season, as malicious actors take advantage of the increased employee travel and distractions that are more common during the holiday season. To help protect from cyberattacks during the busy holiday season, the FBI and CISA compiled several recommendations that employees can take now to prevent from these kinds of attacks.

The New York State Department of Financial Services Adopts Amendments to Strengthen Cybersecurity Regulations

Last week, the New York State Department of Financial Services (NYDFS) finalized amendments to its 2018 regulations on cybersecurity to enhance cybersecurity governance, mitigate risks, and protect New York businesses and consumers from cyber threats.

SEC Charges SolarWinds CISO

On October 30, 2023, the Securities and Exchange Commission (“SEC”) announced charges against SolarWinds Corporation and its chief information security officer, Timothy G. Brown. The charges were for a combination of fraud and internal control failures related to allegedly knowing about cybersecurity risks and vulnerabilities.

SEC Cyber Oversight 2024 Exam Priorities

On October 16th, 2023 the SEC Division of Examinations announced its 2024 exam priorities. The 2024 examination priorities allows investors and registrants to be aware of key risks, examination topics, and priorities of the Division in the upcoming year.

All About the ‘Ishing’

By now, many of us are aware of the term “phishing,” but many may not be familiar with all of the different forms of “ishing,” that have emerged with the development of new kinds of technology and social media.

Risk Alert: Uptick in Phishing Reports

Fairview is noticing an uptick in phishing reports by clients. There are several different forms of phishing that have emerged with the development of new kinds of technology and social media.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

Stay up to date on the latest industry news and resources.

Filter by Topic

Filter by Category

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.

©2025 Fairview® Investment Services, LLC. All rights reserved.

1330 St. Mary’s St.
Suite 400
Raleigh, NC 27605

info@fairviewinvest.com
919.706.4100
FAX: 800.770.9925