News & Insights | Fairview Regulatory Compliance

News & Insights: John Marriott

John has been instrumental in building and overseeing the firm’s compliance and private fund administration services.

SEC Fines Adviser in Wrap Fee Program Dispute

On August 26, 2022, KAI. settled with the SEC for almost $900,000 following an order instituting administrative and cease-and-desist proceedings against KAI.

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.

Performance Practice Leader of Fairview Appointed Chair of CFA Institute’s United States Investment Performance Committee

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.

FBI Investigates Asset Owner’s Returns

A Pennsylvania pension fund is caught in a legal inquiry from the Federal Bureau of Investigation that led to an investigation.

10 Takeaways From CFA Institute’s Guidance on Benchmarks for Firms

The 2020 Global Investment Performance Standards require firms to choose an appropriate total return benchmark for every composite and pooled fund.

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 […]

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.

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: John Marriott

SEC Fines Adviser in Wrap Fee Program Dispute

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

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

Performance Practice Leader of Fairview Appointed Chair of CFA Institute’s United States Investment Performance Committee

ESG Disclosure and Materiality Reminders for RIAs

FBI Investigates Asset Owner’s Returns

10 Takeaways From CFA Institute’s Guidance on Benchmarks for Firms

Firm Principal Fined by the SEC for Supervisory Violations

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

The Top 10 Regulatory Headlines for Investment Advisers

Click below to view General Filing Deadlines and SEC Holidays

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