Christine oversees operations for the Compliance Administration group.
Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for system processing and jurisdiction-related renewals.
On Wednesday, Oct. 26, 2022, the SEC proposed a new rule and amendments regarding the due diligence of service providers.
EXAMS published the second ever risk alert aimed at private funds, which encouraged strengthening compliance programs and disclosed practices.
The SEC proposed amendments to Form PF that “are designed to provide greater insight into private funds operations and strategies”.
SEC’s Division of Exams staff have been requesting information on advisers’ use of electronic signatures. Find out what you need to know.
SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined […]
The SEC proposed reforms for Private Funds to enhance the regulation of private fund advisers and protect investors in private funds by increasing transparency.
As private fund advisers continue to play a larger role in the financial markets, the Division of Examinations published a risk alert of their observations
Fairview can assist ERAs to prepare and submit SEC registration and develop and implement the required compliance program. Learn about our services.
Some focus areas, like cybersecurity and business continuity, are more relevant than ever with the changes to how business is conducted worldwide.
