Stay to up to date on trends and breaking news impacting financial services and compliance, performance, risk and cybersecurity.
Lessons from the SolarWinds Breach to Enhance Your Cybersecurity and Vendor Management Programs
Lessons from the SolarWinds Breach to Enhance Your Cybersecurity and Vendor Management Programs WHAT HAPPENED? Remediation efforts have been underway for nearly two months following the burgeoning SolarWinds attack. [...]
Regulatory Freeze Could Bring Changes to New SEC Marketing Rule
Regulatory Freeze Could Bring Changes to New SEC Marketing Rule WHAT HAPPENED? On Jan. 20, 2021, President Biden’s first day in office, the White House issued a memorandum indicating [...]
SonicWall Issues and Retracts Alert of Hackers Exploiting Zero-Day Vulnerability Within SonicWall VPN
SonicWall Issues and Retracts Alert of Hackers Exploiting Zero-Day Vulnerability Within SonicWall VPN SonicWall, a company providing firewalls and other cybersecurity solutions, issued an alert indicating that it had found [...]
Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers
Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers WHAT HAPPENED? President Biden recently named Gary Gensler, the Obama-era head of the Commodity Futures Trading [...]
Investments in Certain Chinese Companies Restricted Under New Executive Order
Investments in Certain Chinese Companies Restricted Under New Executive Order WHAT HAPPENED? On Jan. 6, 2021, the U.S. Securities and Exchange Commission issued a Risk Alert in response to [...]
Hackers Use Mimecast Certificate to Access Microsoft Accounts
Hackers Use Mimecast Certificate to Access Microsoft Accounts On Jan. 12, 2021, the cloud-based email security and management provider Mimecast disclosed that one of its digital certificates, used by approximately [...]
The DOL’s New Fiduciary Rule Exemption: What You Should Know
The DOL’s New Fiduciary Rule Exemption: What You Should Know WHAT HAPPENED? Recently, the U.S. Department of Labor (DOL) finalized its new fiduciary rule exemption, which will allow advisers [...]
Scam Risks in 2021 and How to Avoid Them
Scam Risks in 2021 and How to Avoid Them Cybercriminals are becoming increasingly sophisticated and continue to find new ways to compromise both individuals’ and firms’ data security. Phishing attacks [...]
The SEC’s New Marketing Rule: Here’s What You Should Know Now
The SEC’s New Marketing Rule: Here’s What You Should Know Now UPDATE: 3/5/2021 On March 5, 2021, the Marketing Rule was published in the Federal Register, setting in motion [...]
2020 Compliance Round Up: The Top 10 Regulatory Headlines for Investment Advisers This Year
2020 Compliance Round-Up: The Top 10 Regulatory Headlines for Investment Advisers This Year WHAT HAPPENED? Amid the unique changes and challenges 2020 has brought, there has been plenty of [...]
Firm Fined for Violating Custody Rule and Miscalculating Performance Fees
Firm Fined for Violating Custody Rule and Miscalculating Performance Fees WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission charged a private fund adviser with violating sections of the [...]
SEC Exam Trends: 5 Areas of Focus for RIAs
SEC exam trends: 5 areas of focus for RIAs WHAT HAPPENED? Although routine examinations may include requests related to any area of your firm’s operations, examiners may focus on [...]
Avoid the risk of using common passwords– make your accounts more secure today
Avoid the risk of using common passwords– make your accounts more secure today WHAT HAPPENS IF I USE COMMON PASSWORDS? Password spray attacks target user accounts by attempting to [...]
Private fund adviser ordered to pay over $1 million after violating partnership agreement
Private fund adviser ordered to pay over $1 million after violating partnership agreement WHAT HAPPENED? Recently, the United States Securities and Exchange Commission sanctioned a registered investment adviser for [...]
OCIE Risk Alert: common compliance program issues
OCIE Risk Alert: common compliance program issues WHAT HAPPENED? On Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) released [...]
Performance Practice Leader of Fairview Appointed to CFA Institute’s ESG Verification Subcommittee
Performance Practice Leader of Fairview Appointed to CFA Institute’s ESG Verification Subcommittee We are pleased to announce that, this month, Fairview Performance Service’s Vice President and Performance Practice Leader, Greta [...]