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Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
Goldman Sachs Fined $4M for Policy Failures of ESG Investments What happened? On November 22, 2022, the U.S. Securities and Exchange Commission SEC charged Goldman Sachs Asset Management, LP [...]
The SEC's New Proxy Rule: What You Need to Know What happened? On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments that will [...]
SEC New Marketing Rule Compliance Date Reminder What happened? Reminder: As of Today, investment advisers can no longer choose to comply with previous advertising and cash solicitation rules following [...]
Fairview General Counsel Amber Allen Elected to the NSCP Board of Directors Amber Allen, who serves as the General Counsel and Executive Vice President of Fairview®, LLC, was elected to [...]
2023 IARD Annual Renewal Message What's coming up soon? Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for [...]