Enforcement | Fairview Investments

News & Insights: Enforcement

Flash Reports
26 Mar, 2026

SEC Settles Cherry-Picking Case Involving Advisory Firm and Its CCO

The SEC recently settled an enforcement action against an investment advisory firm and its Chief Compliance Officer involving an alleged “cherry-picking” scheme.

SEC Enforcement Action for Valuation Practices of Private Fund Manager

On February 25, 2026, the SEC announced settled charges against an investment adviser for selling loans to private fund clients without determining whether those trades were at fair market value. Lack of a fair market value determination was contrary to the advisory agreements and other disclosures to private fund investors.

Key Takeaways from the SEC’s ESG Risk Alert

SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

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.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

SEC Restores Investigative Powers for Senior Enforcement Staff

The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.

Investments in Certain Chinese Companies Restricted Under New Executive Order

The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.

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.