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Fairview® Flash Reports 2020-03-20T18:24:40+05:00
Mar18, 2021

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

By | Mar 18th, 2021|AML, Books and Records, Custody, Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, Technology, Trading and Valuation, U.S. Securities and Exchange Commission|

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities WHAT HAPPENED? Digital assets continue to be a hot topic among regulators as these securities gain momentum in the [...]

Mar9, 2021

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?

By | Mar 9th, 2021|Fairview® Flash Reports, Marketing and Social Media, Registration, Disclosure and Filing Requirements, Solicitation, U.S. Securities and Exchange Commission|

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now? WHAT HAPPENED? On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was [...]

Mar4, 2021

2021 SEC Examination Priorities: What You Should Know

By | Mar 4th, 2021|Disaster Recovery and Incident Response, Enforcement, Fairview® Flash Reports, Mutual Fund and Institutional Issues, Privacy, Cybersecurity, and Regulation S-ID, Technology, Trading and Valuation, U.S. Securities and Exchange Commission|

2021 SEC Examination Priorities: What You Should Know WHAT HAPPENED? On March 3, 2021, the Division of Enforcement of the U.S. Securities and Exchange Commission (the Division) released its [...]

Feb19, 2021

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

By | Feb 19th, 2021|Enforcement, Fairview® Flash Reports, Registration, Disclosure and Filing Requirements, Trading and Valuation, U.S. Securities and Exchange Commission|

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers WHAT HAPPENED? Recently, the Division of Enforcement of the U.S. Securities and Exchange Commission released a list of common compliance [...]