The SEC announced?today in a press release that Gary Gensler, the SEC 33rd?Commission Chair, will step down on January 20th, 2025. To read the full report, click the link provided below.? https://lnkd.in/gmFGf2DX
Fairview LLC
金融服务
Raleigh，NC 1,130 位关注者
Full-service, backend support services for CCOs, RIAs, and the financial services industry.
关于我们
Providing full-service, backend regulatory support services to investment advisers and other financial institutions through five distinct practice areas: ? Compliance Administration: supports CCOs with the day-to-day operations and maintenance of compliance programs so that required records, filings, screenings, client setup and recording are current and readily available. ? Cyber Solutions: offers comprehensive cyber and data security solutions to businesses focused on protecting client data. ? Performance Solutions: Specializes in composite maintenance. ? Regulatory Filings: FilePoint EDGAR Services, LLC is a full-service filing agent specializing in document filing, typesetting, printing and e-distribution, document hosting, website development, and printing fulfillment for investment companies ? Investment Administration: supports hedge funds, private equity funds and real estates to provide investor reporting, fund accounting and other administrative services. What makes us different is our emphasis on building and maintaining strong relationships with our clients. This approach, coupled with our use of technology, enables us to provide high-quality, high-touch service to get results.
- 网站
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https://www.fairviewinvest.com
Fairview LLC的外部链接
- 所属行业
- 金融服务
- 规模
- 51-200 人
- 总部
- Raleigh，NC
- 类型
- 私人持股
- 创立
- 2005
- 领域
- Investment Adviser Compliance Administration、Private Fund Accounting and Shareholder Services、Investment Adviser SEC Registration和IA Compliance
地点
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主要
获取路线
1330 St. Mary's Street
Suite 400
US，NC，Raleigh，27605
Fairview LLC员工
动态
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Please join us on Tuesday, November 19th, at noon ET for An Adviser's Guide to Off-Channel Communications Webinar. Fairview's Amber Allen, Esq., CIPP (US) and Frank Watson will cover background, regulatory considerations, recent enforcement actions, SEC sample requests, and tips for strengthening your compliance program. Click the link below to register. https://hubs.li/Q02XZH-L0
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We had a great time at the National Society of Compliance Professionals National Conference this week! Many thanks to NSCP for organizing such a wonderful event, full of insightful presentations and panel discussions, and ample networking opportunities. #SECCompliance Amber Allen, Esq., CIPP (US) Frank Watson Jeremy McCamic Kayla Alphin ?
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October is Cybersecurity Month! Stay vigilant against cyber threats, especially those targeting Multi-Factor Authentication (MFA). Click the link below for Cybersecurity and Infrastructure Security Agency 2022 Implementing Phishing-Resistant MFA PDF to learn more about how you can strengthen your defenses and keep your data safe. #SecureOurWorld #CybersecurityAwarenessMonth https://lnkd.in/d4dtu7gY
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Make sure you are prepared for your next SEC Exam with this list of actual requests from recent SEC Exams. Topics include off-channel communications, cybersecurity, policies and procedures, and more. Click the link below to download the full list https://hubs.li/Q02V8Y0K0
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Fairview LLC转发了
After a disaster, scammers and other criminals may attempt to exploit survivors. Secure Our World and FEMA urge you to take caution. Learn more at: https://lnkd.in/ezuBzgaU and https://lnkd.in/e2QKH_G3
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Fairview LLC转发了
A big thank you to 321 Coffee for fueling our morning here at ViewPoint Partners today. We appreciate you coming by and making our day brighter!
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On October 10, 2024, The SEC announced charges against Rimar Capital USA, Inc. (Rimar USA), Rimar Capital, LLC (Rimar LLC), Itai Liptz, and Clifford Boro for making false and misleading statements about Rimar LLC’s purported use of artificial intelligence (AI). Misrepresentations included claims of automated trading for accounts, among other fabricated uses of AI. Click the link below to read the full flash. https://hubs.li/Q02TgV-90
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Nearly a year ago, the Securities and Exchange Commission (“SEC”) passed Rule 13f-2 under the Exchange Act. Rule 13f-2 seeks to provide greater transparency on short selling by collecting and publishing short sale data. January 2025 is the first month that must be monitored, and if thresholds are crossed, then the first Form SHO filing will be due February 14, 2025. Click the link below to read the full report. https://hubs.li/Q02S-YkC0
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We have received notice from multiple firms in receipt of phishing emails from a domain?that appears to be from a FINRA executive. The phishing campaigns are?similar to past phishing campaigns FINRA has experienced. Click the link below to see the full report. https://lnkd.in/geFfwWt6
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