At Fairview®, we do things differently. We understand that creating and maintaining a strong SEC compliance program requires a lot of work and ongoing attention. That’s why we deploy technology and a team of SEC regulatory experts to build and maintain comprehensive, tailored compliance programs.
Whether you’re looking for support with your existing adviser compliance program, assistance developing the infrastructure for a new compliance program, or general CCO support in administering your firm’s compliance program, we can help. Our proprietary technology solutions allow us to implement scalable solutions, customized to our clients’ unique needs.
We also help CCOs and investment advisers prepare for SEC exams and provide hands-on support throughout the entire exam process.
Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
On February 13, 2024, the Financial Crimes Enforcement Network (FinCEN) proposed a new rule to combat the investment of illicit funds in the U.S. financial system. The proposed rule would require certain investment advisers to apply Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) requirements pursuant to the Bank Secrecy Act (BSA).
On February 9, 2024, the SEC announced charges against five broker-dealers, seven dual registrants, and four advisers for recordkeeping violations related to electronic communications.
An active phishing campaign using individualized phishing lures is targeting senior corporate accounts in Microsoft Azure environments, according to researchers from Proofpoint, a company that provides cybersecurity products and software.