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Fairview® Flash Reports 2020-03-20T18:24:40+05:00
Apr7, 2020

Important Upcoming Deadlines for SEC Registered Investment Advisers

By | Apr 7th, 2020|Disaster Recovery and Incident Response, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Important Upcoming Deadlines for SEC Registered Investment Advisers WHAT IS HAPPENING? There are several key deadlines for SEC registered investment advisers in the coming weeks, including form distribution and [...]

Mar26, 2020

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

By | Mar 26th, 2020|Disaster Recovery and Incident Response, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles WHAT HAPPENED? In response to the unusual state of global securities infrastructures stemming from COVID-19, the SEC is continuing [...]

Mar20, 2020

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

By | Mar 20th, 2020|Disaster Recovery and Incident Response, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation ***UPDATE*** On March 23 and 25, 2020, the SEC released further extended dates for the items listed [...]

Jan31, 2020

What Does OCIE Look for When Examining Cybersecurity Practices?

By | Jan 31st, 2020|Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Privacy, Cybersecurity, and Regulation S-ID, U.S. Securities and Exchange Commission|

What Does OCIE Look for When Examining Cybersecurity Practices? WHAT HAPPENED? In recent years, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission made [...]