Fairview®

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So far Fairview® has created 23 blog entries.

OCIE Warns of Cloud-Based Server Security Risks

OCIE Warns of Cloud-Based Server Security Risks WHAT HAPPENED? Last week, the Office of Compliance Inspections and Examinations (OCIE) discovered several security risks related to the storage of customer information by broker-dealers and advisers, particularly related to the use of cloud-based servers. The primary risk was found to stem [...]

2019-08-07T11:00:03-05:00 May 29th, 2019|Flash Reports, News|

OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues

OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues WHAT HAPPENED? On April 16, 2019, the Office of Compliance Inspections and Examinations (OCIE) published a list of compliance issues in connection with Regulation S-P. Regulation S-P requires registered investment advisers, investment companies, and broker-dealers (registrants) to provide notice [...]

2019-08-07T11:01:01-05:00 April 18th, 2019|Flash Reports, News|

FINRA Releases Report on Selected Cybersecurity Practices

FINRA Releases Report On Selected Cybersecurity Practices WHAT HAPPENED? On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a Report on Selected Cybersecurity Practices (the “2018 Report”).  In it, FINRA outlines five topics of focus: Cybersecurity controls in branch offices; Methods of limiting phishing attacks; Identifying and [...]

2019-08-16T13:28:21-05:00 January 23rd, 2019|Flash Reports, News|