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Fairview Flash Reports 2017-07-11T18:28:06+00:00
Oct10, 2017

Reminder that the New Form ADV Rules Took Effect on October 1, 2017

By | Oct 10th, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Private Equity Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Reminder that the New Form ADV Rules Took Effect on October 1, 2017 WHAT HAPPENED? On October 1, 2017, the amendments to Part 1A of Form ADV and the [...]

Sep22, 2017

Amendments to the Books and Records Rule, Effective October 1st

By | Sep 22nd, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Trading and Valuation, U.S. Securities and Exchange Commission|

Amendments to the Books and Records Rule, Effective October 1st WHAT HAPPENED? Effective October 1st, advisers will be required to comply with the revised Books and Records Rule. Under [...]

Sep15, 2017

OCIE Announces Most Frequent Advertising Rule Risks Identified in Examinations

By | Sep 15th, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, U.S. Securities and Exchange Commission|

OCIE Announces Most Frequent Advertising Rule Risks Identified in Examinations WHAT HAPPENED? On September 14, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) announced the most frequent compliance [...]

Sep8, 2017

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients

By | Sep 8th, 2017|Enforcement, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Trading and Valuation, U.S. Securities and Exchange Commission|

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients WHAT HAPPENED? On August 31, 2017, the SEC charged an investment adviser and its principal (collectively, the “Defendant”) with misleading [...]