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Fairview®

About Fairview®

Founded in 2005 with the goal of developing streamlined solutions for investment advisers, Fairview® is now servicing investment advisers, foundations, and funds with nearly $300 billion in collective assets.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

Private fund adviser ordered to pay over $1 million after violating partnership agreement WHAT HAPPENED? Recently, the United States Securities and Exchange Commission sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity [...]

OCIE Risk Alert: common compliance program issues

OCIE Risk Alert: common compliance program issues WHAT HAPPENED? On Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations [...]

Avoid the risk of using common passwords– make your accounts more secure today

Avoid the risk of using common passwords– make your accounts more secure today WHAT HAPPENS IF I USE COMMON PASSWORDS? Your accounts could be vulnerable to a variety of attacks, including password “spray attacks.” Password spray attacks target user accounts by attempting to access hundreds of thousands of accounts [...]

OCIE examiners report common branch office compliance deficiencies

OCIE examiners report common branch office compliance deficiencies WHAT HAPPENED? On Nov. 9, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) released a new Risk Alert outlining recent observations from examinations of SEC-registered investment advisers. In general, advisers with numerous branch [...]

New Investment Company Act rule updates regulatory requirements for fund of funds arrangements

New Investment Company Act rule updates regulatory requirements for fund of funds arrangements WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission adopted a new rule and related amendments regarding fund of funds arrangements. The rule, 12d1-4, aims to streamline a comprehensive regulatory approach to these arrangements. Recent numbers [...]

Reminder: Upcoming SEC Compliance Outreach Seminar

Reminder: Upcoming SEC Compliance Outreach Seminar WHAT HAPPENED? On Thursday, Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission is hosting the Compliance Outreach Program National Seminar from 12:00-5:00 pm ET. The seminar will focus on providing resources to Chief Compliance [...]

Are your documents and website up to ADA standards?

Are your documents and website up to ADA standards? WHAT HAPPENED? Clients and shareholders with auditory, cognitive, neurological, physical, speech, and visual impairments use assistive devices, like screen readers, screen magnifiers, and Braille displays, to consume content produced by your firm. Certain technical criteria are required to be met [...]

SEC proposes exemption for finders helping small businesses raise capital

SEC proposes exemption for finders helping small businesses raise capital WHAT HAPPENED? On Oct. 7, 2020, the U.S. Securities and Exchange Commission proposed a conditional exemption which would allow certain market participants to be exempted from registering as brokers under federal securities laws. The exemptions would benefit “finders” who [...]

ALERT: Phishing attack posing as FINRA survey

ALERT: Phishing attack posing as FINRA survey WHAT HAPPENED? The Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) was recently made aware of a phishing attempt which could affect broker-dealers, investment advisers, and investment companies. The attack came from bad actors, purporting to [...]