As technology continues to evolve, it brings tremendous benefit yet significant risk, particularly for those in financial services. Balancing business goals with a sound compliance program can be tricky. That’s where Fairview comes in. Our team of regulatory and cybersecurity experts works with firms to create sustainable, well-documented cybersecurity programs that enable CCOs and investment advisers to utilize new technology, while mitigating risk and maintaining thorough, sound compliance programs.
General Counsel and Executive Vice President; President, Fairview Cyber
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On November 4, 2024, the SEC Division of Examinations (the “Division”) published a Risk Alert to describe the examination process for advisers of mutual funds, ETFs, and other registered investment companies (“RICs” or “funds”); the selection and scope of such examinations; and observations on core focus areas for RICs, The alert also shares a list of the typical documents and information requested during such examinations.
