News & Insights: Tripp Marriott

As Director of Risk Review, Tripp reviews and updates adviser risk assessment / testing protocols based on regulatory updates, guidance from the SEC, and exam experience.

SEC Revises Marketing FAQ to Address Private Fund Net Performance

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

The SEC’s New Proxy Rule: What You Need to Know

On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments.

Electronic Communications Recordkeeping: SEC Examination Requests

After landmark penalties against 16 Wall Street Firms, the message is clear: firms are expected to abide by the SEC recordkeeping rules, especially around communication.

SEC Charges Two Advisory Firms for Custody Rule Violations Among Other Violations

On September 9, 2022, the SEC charged several investment advisers who failed to comply with requirements regarding safekeeping client assets.

Private Fund Examination Requests and Record-Keeping

EXAMS published the second ever risk alert aimed at private funds, which encouraged strengthening compliance programs and disclosed practices.

SEC Examination Requests Regarding E-signatures

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

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined […]

SEC Proposes Reforms for Private Funds

The SEC proposed reforms for Private Funds to enhance the regulation of private fund advisers and protect investors in private funds by increasing transparency.

SEC Continues Focus on Private Fund Advisers

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

Advisers to Private Funds: Going from Exemption Reporting Adviser (ERA) to Fully Registered Adviser

Fairview can assist ERAs to prepare and submit SEC registration and develop and implement the required compliance program. Learn about our services.

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