Amber Allen serves as the General Counsel and Executive Vice President of Fairview. She also serves as General Counsel and President of Fairview Cyber, LLC, which develops cyber and data security programs and advises clients on regulatory requirements and industry best practices. Amber joined Fairview in 2014, serving as an integral member of the Compliance Group and the first member of Fairview’s legal department. Amber led efforts to design and launch the Cyber Solutions practice in 2019, and she continues to oversee its operations today.
Amber is a member of the National Society of Compliance Professionals (NSCP) Board of Directors and serves on the NSCP Currents Editorial Board and Publications Committee, Governance Committee, and Regulatory Advisory Committee. Amber is also part of NSCP’s Conference Committee and serves as the Deputy Governance Committee Chair.
The SEC announced on January 13, 2025, that two brokerage firms agreed to pay a combined $45 million, $33.5 million, and $11.5 million, respectively, in civil penalties relating to multiple SEC charges stemming from their brokerage operations.
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The Securities and Exchange Commission (“SEC”) announced charges against nine investment advisers and three broker-dealers for failures to maintain records of electronic communications by employees, in violation of federal securities laws. The firms paid penalties ranging from $4 million to $12 million, except for one firm that self-reported its violations and paid the reduced penalty of $600,000.
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On December 20, 2024, the SEC announced settled charges against Rose Park Advisors, LLC (“Rose Park”), a Boston registered investment adviser, and its managing partner, Matthew Q. Christensen (“Christensen”). The charges stemmed from failing to disclose significant conflicts of interest related to investments made by one of their clients (“the Fund”), which invested nearly $50 million in a portfolio company run by Christensen’s uncle.
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