News & Insights: Tracey Winters

Tracey primarily manages fund accounting operations.

The DOL’s New Fiduciary Rule Exemption: What You Should Know

DOL finalized its new fiduciary rule exemption to allow advisers to receive compensation for otherwise prohibited rollovers.

Open-End Funds: Proposed Amendments to Reporting and Disclosure Requirements

The SEC proposed a new set of amendments to mutual fund and exchange-traded fund disclosure requirements. The package includes, among other things, changes to visual presentation requirements and the disclosure framework for open-end fund shareholder documents.

SEC Proposes Rule to Modernize Fund Valuation Practices

The SEC is taking steps to improve the requirements. The rule intends to aid retail investors in gaining fair and complete information about their fund investments by making fund information more accurate and accessible.

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

The SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

While the international COVID-19 outbreak continues to affect the lives of the world’s citizens and, by extension, the United States’ securities infrastructure, the SEC is taking steps to provide relief to firms and funds through delays in form filing and document delivery obligations.

COVID-19: What Financial Regulatory Bodies Are Saying

The financial industry continues to be affected by COVID-19, leading regulatory bodies to release statements and act on this matter in multiple capacities. Below is a summary of how some organizations are responding to COVID-19 concerns.

SEC Comments on Emerging ESG Compliance Concerns

The SEC has increased its focus on socially responsible “environmental, social, and governance” funds, or ESG funds. In 2019, the amount of funds investing in ESGs nearly tripled compared to 2018, and there are no signs of the trend slowing down.

SEC Provides FAQs for Regulation Best Interest

The SEC released a set of Frequently Asked Questions for use by broker-dealers who are coming into compliance with the regulation.

OCIE Releases List of Common Investment Company, Money Market Fund, and Target Date Fund Compliance Issues

OCIE released a Risk Alert outlining common compliance observations among investment companies, money market funds, and target date funds. The alert outlines general weaknesses and deficiencies that OCIE staff noticed during recent examinations.

SEC Adopts Rule Modernizing ETF Regulations

The SEC voted to adopt Rule 6c-11. The goal of the rule is to create a clear process to establish and operate exchange traded funds (ETFs) and to facilitate competition in this market.

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Fairview has been providing streamlined solutions to providers in the financial services industry since 2005. We are part of ViewPoint Partners, our employee-owned parent company for both Fairview and FilePoint, which provides regulatory reporting solutions for registered investment companies.

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