News & Insights | Fairview Regulatory Compliance

News & Insights: Frank Watson

Frank founded Fairview in 2005 with the goal of developing streamlined back-office and compliance solutions for investment advisers.

Flash Reports
13 Mar, 2023
Amber Allen

Fairview Webinar: The SEC’s Proposed Cybersecurity Risk Management Rule and The Proposed Outsourcing Rule Presentation

Fairview’s team of regulatory experts discuss details of the proposed rule, associated changes, and what RIAs can do to begin to prepare for compliance.

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

SEC Chair Gensler spoke at Northwestern Pritzker School of Law’s Annual Securities Regulation Institute yesterday, where he focused on the Commission’s cybersecurity initiatives.

SEC Focuses on Advisory Fee Calculation: What You Need to Know

During recent regulatory exams, the SEC detected several issues with investment advisers’ fee calculations. Contact us for more info.

New Enforcement Date for DOL Rollover Recommendations: Documenting and Meeting the DOL’s Prohibited Transaction Exemption

DOL will not pursue prohibited transaction claims against firms who are working to comply with certain Impartial Conduct Standards for transactions.

The SEC Suits Up for Suitable Recommendations

The Securities and Exchange Commission has recently started cracking down on investment advisers improperly recommending complex financial products.

SEC Appoints New Director of Enforcement, Gurbir S. Grewal

The SEC issued a press release announcing the appointment of New Jersey Attorney General, Gurbir S. Grewal, as the Commission’s new Director of Enforcement.

ESG Disclosure and Materiality Reminders for RIAs

Climate and environmental, social, and governance topics continue to gain prevalence in capital markets, especially with evolving regulatory expectations.

Adviser Facing Jury Trial for Securities Laws Violations

An exempt reporting adviser (“ERA”) and related private fund were recently investigated by the SEC for a variety of securities laws violations.

Firm Principal Fined by the SEC for Supervisory Violations

Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities […]

The Top 10 Regulatory Headlines for Investment Advisers

Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.

News & Insights: Frank Watson

Fairview Webinar: The SEC’s Proposed Cybersecurity Risk Management Rule and The Proposed Outsourcing Rule Presentation

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

SEC Focuses on Advisory Fee Calculation: What You Need to Know

New Enforcement Date for DOL Rollover Recommendations: Documenting and Meeting the DOL’s Prohibited Transaction Exemption

The SEC Suits Up for Suitable Recommendations

SEC Appoints New Director of Enforcement, Gurbir S. Grewal

ESG Disclosure and Materiality Reminders for RIAs

Adviser Facing Jury Trial for Securities Laws Violations

Firm Principal Fined by the SEC for Supervisory Violations

The Top 10 Regulatory Headlines for Investment Advisers

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