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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NSCP Currents: Using Litigation Releases as Case Studies: The SEC’s First Reg BI Case

The SEC’s First Reg BI Enforcement Action” by Brian Rubin, Issa Hanna and Andrew Mount provides an insightful analysis of the SEC’s first Reg BI case.

SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft

The SEC announced in a press release that it separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft.

SEC Examination Requests Regarding E-signatures

SEC’s Division of Exams staff have been requesting information on advisers’ use of electronic signatures. Find out what you need to know.

The New Marketing Rule: Part 7 – Third Party Ratings

The new rule allows firms to use third-party ratings in their marketing materials, provided that their use complies with the general prohibitions and provides the required disclosures.

The New Marketing Rule Part 6 – Categories of Performance and Their Requirements

Our series of Flash Reports addresses common questions RIAs may have about the new rule and its impact on compliance. If you have questions, we can help.

Pirated copy of popular app being used to spread information-stealing malware

A popular app is being used to spread information-stealing malware. If you have questions about how to safeguard your business, Fairview can help.

SEC Proposes to Enhance Disclosures About ESG Investment Practices

The SEC proposed to enhance disclosures about ESG investment practices. If you have questions about ESG and your compliance program, Fairview can help.

QuickBooks Customers Targeted in Ongoing Series of Phishing Attacks

Fairview can help financial advisers develop policies to help prevent cyber attacks. If you have questions about your cyber policy, contact us.

The New Marketing Rule Part 5 – Challenges for Performance Advertising

The new SEC Marketing Rule provides new guidance on performance advertising. Find out what you need to know, and how it may impact your compliance program.

SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG

The SEC charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations.

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