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Fairview® Flash Reports 2020-03-20T18:24:40-04:00
Apr28, 2022

Risk Alert on MNPI

By | Apr 28th, 2022|Fairview® Flash Reports|

Risk Alert on MNPI What happened? Restrictions on the use of material non-public information (“MNPI”) are one of the cornerstones of the SEC’s regulatory framework. The Division of Examinations (“EXAMS”) [...]

Feb28, 2022

SEC Exam Trends

By | Feb 28th, 2022|Fairview® Flash Reports|

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined as the Retail Investment Company Initiatives (RIC), which focused on mutual funds and exchange-traded funds (ETFs). This [...]