Registration, Disclosure and Filing Requirements

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SPACs: What the SEC Wants You to Know

SPACs: What the SEC Wants You to Know WHAT HAPPENED? Special-purpose acquisition companies, or SPACs, have recently surged in popularity and the SEC is paying attention. These vehicles are used to help private companies go public via a merger, or “de-SPAC,” and carry unique compliance risks. In past decades, [...]

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities WHAT HAPPENED? Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace. While more comprehensive regulations around these trades are implemented, examiners from the U.S. Securities and Exchange Commission are emphasizing [...]

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now? WHAT HAPPENED? On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was published in the Federal Register, setting in motion a series of regulatory requirements for investment advisers. The move to officially [...]

SEC Requirement: Annual Amendment for Form ADV

SEC Requirement: Annual Amendment for Form ADV WHAT HAPPENED? The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the adviser’s fiscal year. If your fiscal year ended Dec. 31, you will be required to file an annual amendment to [...]

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers WHAT HAPPENED? Recently, the Division of Enforcement of the U.S. Securities and Exchange Commission released a list of common compliance concerns noted during examinations of large traders, particularly with respect to Rule 13h-1. The Rule requires firms or individuals who [...]

The SEC’s New Marketing Rule: Here’s What You Should Know Now

The SEC’s New Marketing Rule: Here’s What You Should Know Now UPDATE: 3/5/2021 On March 5, 2021, the Marketing Rule was published in the Federal Register, setting in motion the need for firms to prepare for compliance. Fairview will publish more information on an ongoing basis about the Rule [...]

2020 Compliance Round Up: The Top 10 Regulatory Headlines for Investment Advisers This Year

2020 Compliance Round-Up: The Top 10 Regulatory Headlines for Investment Advisers This Year WHAT HAPPENED? Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the U.S. Securities and Exchange Commission and the Office of Compliance Inspections and Examinations (OCIE) in the [...]

SEC exam trends: 5 areas of focus for RIAs

SEC exam trends: 5 areas of focus for RIAs WHAT HAPPENED? Although routine examinations may include requests related to any area of your firm’s operations, examiners may focus on certain compliance risks that have been identified or those itemized in a Risk Alert. Staying up to date with SEC [...]

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 [...]

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 [...]