Effective cybersecurity for an RIA requires two distinct skill sets: the technical depth to reduce risk, and the regulatory fluency to know what the SEC requires and expects. RIA cybersecurity programs need to be both technically sound and well documented.
Fairview’s cyber team was built to bring both together. Our people combine cybersecurity expertise with deep knowledge of SEC rules, guidance, and examination priorities, so every control we help you build serves two purposes at once: reducing your actual risk, and standing up to regulatory scrutiny. The result is one integrated program that lets CCOs and advisers adopt new technology with confidence.
Vendor Management Program
Incident Response Program
Customer Notification Requirement
Recordkeeping and Expansion of Safeguards and Disposal (including written records)
Check out our Flash Reports for the latest SEC- and cybersecurity-related news, trends, and insights.
On August 18, 2026, the SEC proposed “Regulation Crypto Assets,” a new regulatory framework for certain investment contracts involving crypto assets (“covered investment contracts”). The proposal follows the SEC’s March 2026 interpretive release addressing the application of federal securities laws to certain crypto assets and transactions, and represents another step in the SEC’s broader effort to establish clearer rules for crypto asset markets.
On August 11, 2026, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rule that permanently removes all requirements for U.S. companies and individuals to report beneficial ownership information under the Corporate Transparency Act (“CTA”).
On July 31, 2026, the SEC settled charges against a New York-based registered investment adviser for calculating and charging advisory fees inconsistently with its advisory agreements and Form ADV Part 2A disclosures and for failing to implement written policies and procedures designed to ensure advisory fees were calculated correctly.