SEC Risk Alert

SEC Risk Alert on Prevention of Identity Theft and Reg S-ID

SEC Risk Alert on Prevention of Identity Theft and Reg S-ID What happened? The Division of Examinations (“EXAMS”) issued a Risk Alert to assist firms with identity theft prevention programs required under Regulation S-ID. Financial institutions (including broker-dealers and registered investment advisors) must determine whether they offer “covered accounts” [...]

By Fairview®| 2023-02-08T10:13:49-05:00 Dec 7th, 2022|News, Privacy, Cybersecurity, and Regulation S-ID, SEC Risk Alert|

SEC Risk Alert on the New Marketing Rule: Act Now to Prepare

SEC Risk Alert on the New Marketing Rule: Act Now to Prepare What happened? The Division of Examinations (“EXAMS”) published a risk alert yesterday to inform investment advisers, including advisers to private funds, that examiners will conduct “a number of specific national initiatives” that focus on the new Marketing [...]

By Fairview®| 2023-02-08T10:45:37-05:00 Sep 21st, 2022|New Marketing Rule, SEC Risk Alert|