News & Insights

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

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

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Cybersecurity Requests in SEC Exams

A current cyber sweep exam is underway by the Division of Examinations. The request list includes multiple items that align with proponents of the proposed cybersecurity rule

RIA Glossary of Cyber Terms

Use this term to brush up on key terms that may appear in your next SEC cybersecurity exam.

Data Breach Hits BNY Mellon Wealth Business

This month, BNY Mellon’s N.A. division notified clients that one of its vendors’ systems was infiltrated, resulting in exposure of client data, including Social Security numbers, Ignites reported.

DOL Voluntarily Dismisses Appeal to Defend DOL PTE Fiduciary Guidance

The Department of Labor (DOL) voluntarily dismissed its appeal of the district court decision that struck down the DOL’s fiduciary reinterpretation of fiduciary status for advisers making rollover recommendations to retirement investors. 

SEC Risk Alert on Observations of LIBOR-Transition Preparedness

On May 11, 2023, the SEC’s Division of Exams (“EXAMS”) published a Risk Alert to remind registrants of the discontinuation of U.S. Dollar LIBOR after June 30, 2023. The Risk Alert also discussed firms’ practices to manage the transition.

The SEC’s First Enforcement of Liquidity Rule Violations

On May 5, 2023, the SEC announced its first-ever enforcement of the Liquidity Rule by charging Pinnacle Advisors LLC, an investment adviser, with “aiding and abetting Liquidity Rule violations” regarding one of its mutual funds.

Certain Form PF Filers Will Have New Questions, More Reporting :: Impacts Advisers to Private Equity Funds and Large Hedge Funds

On May 3, 2023, the U.S. Securities and Exchange Commission (SEC) announced the adoption of amendments to the Form PF. This rule will impact all Form PF Large filers and all Form PF filers who manage private equity (PE) funds.

SEC Risk Alert on Safeguarding Customer Information at Branch Offices

On April 26, 2023, the SEC’s Division of Examinations (EXAMS) published a Risk Alert regarding the security of customer information at branch offices maintained by broker dealers and investment advisers.

Reminder: Annual Form PF filing Due April 30, 2023

Although the Investment Adviser Registration Depository IARD/PFRD is scheduled to be available Sunday, April 30, 2023, we recommend completing the filing by April 28th.

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.

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