Fairview’s team of regulatory experts discuss details of the proposed rule, associated changes, and what RIAs can do to begin to prepare for compliance.
On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.
The Division of Examinations (“EXAMS”) issued a Risk Alert to assist firms with identity theft prevention programs required under Regulation S-ID.
The CISA published two fact sheets on October 31, 2022, outlining the dangers to accounts and systems when applying specific types of MFA.
A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to push Windows and Android malware.
Joe Sullivan, former chief security officer for Uber, was convicted on federal charges related to a ransom payment he authorized following a 2016 security breach.
Cyberattacks are now seen as the biggest risk to businesses. One of the best ways to combat these threats is for organizations to educate employees about cyber and data security.
On May 25, 2022, the SEC proposed a rule and form amendments that would require disclosures concerning ESG practices by certain registered investment advisers.
The Proposed Cyber Rules codify the requirement for advisers to maintain comprehensive cybersecurity policies and procedures and adhere to certain disclosure and recordkeeping requirements.
On Sept. 20, 2022, the SEC charged MSSB regarding the firm’s failures to protect the PII of approximately 15 million customers over a five-year period.
