Tracey primarily manages fund accounting operations.
Before Tracey Winters joined Fairview in 2007, she managed various departments at a fund administrator, which has given her broad experience with mutual funds, hedge funds, governmental and nonprofit investment pools, and insurance pools. She has a strong background in portfolio accounting, financial statement preparation, and tax reporting.
FINRA announced that the 2024 FINRA Entitlement Certification period begins today and must be completed on or before June 17, 2024.
Read MoreOn April 12, 2024, the Securities and Exchange Commission (SEC) announced that it settled charges against five registered investment advisers for Marketing Rule violations.
Read MoreThe Securities and Exchange Commission (SEC) has fined several companies in recent months for off-channel communications and record-keeping. At the recent SEC Speaks conference, Sanjay Wadhwa, deputy director of the Division of Enforcement, said the SEC considers several factors in determining the fine amount, including size of the firm, breadth and depth of the violations, whether a firm self-reported, level of cooperation, and more.
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