Conflicts of Interest | Fairview Investments

News & Insights: Conflicts of Interest

SEC’s 2027 Exam Priorities: What Your Compliance Program Needs to Strengthen

On October 23, the SEC’s Division of Examinations released its 2027 Examination Priorities. Conflicts of interest, private funds, Super Intelligence (SI), cybersecurity, and Regulation S-P are among the focus areas. Here’s what examiners will look for and the steps advisers should take to strengthen their compliance programs now.

SEC’s 2027 Exam Priorities: What Your Compliance Program Needs to Strengthen

SEC
16 Jul, 2026

SEC Settlement Over Undisclosed Conflicts: What It Means for Your IARs

On July 13, 2026, the SEC announced settled charges against a former registered investment adviser representative (“IAR”) for failing to adequately disclose conflicts of interest in connection with advisory clients’ investments.

SEC
18 Jun, 2018

SEC Charges Advisory Firm with Conflict of Interest Fine

The SEC announced that an investment adviser agreed to pay $8 million in civil penalty fees for failing to disclose conflicts of interest to its advisory clients.

News & Insights: Conflicts of Interest

SEC’s 2027 Exam Priorities: What Your Compliance Program Needs to Strengthen

SEC’s 2027 Exam Priorities: What Your Compliance Program Needs to Strengthen

SEC Settlement Over Undisclosed Conflicts: What It Means for Your IARs

SEC Charges Advisory Firm with Conflict of Interest Fine

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