News & Insights: Flash Reports

More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

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2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here’s your at-a-glance guide to what’s due and when, so nothing catches your team off guard.

SEC Fee Calculation Enforcement Case: Lessons for Your Advisory Agreements

On July 31, 2026, the SEC settled charges against a New York-based registered investment adviser for calculating and charging advisory fees inconsistently with its advisory agreements and Form ADV Part 2A disclosures and for failing to implement written policies and procedures designed to ensure advisory fees were calculated correctly.

Amended Reg S-P Deadline for Smaller Advisers: Less Than Two Months Left

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

SEC Cherry-Picking Enforcement Case: What It Means for CCO Liability

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

SEC Valuation Enforcement Case: A Warning for Private Fund Managers

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.

SEC Extends Form N-PORT Deadline for the Names Rule: New Timeline Explained

On February 18, the SEC issued an extension of the compliance dates for Form N-PORT reporting related to the “Names Rule,” proposed new amendments to Form N-PORT reporting, and published new questions and answers on the Names Rule FAQ.

Do Your Form ADV Disclosures Need to Be ADA-Accessible?

Large financial institutions, such as intermediaries and wrap sponsors, are increasingly asking advisers to provide documents with higher-level accessibility conformance on institutional platforms.

SEC Targets Hedge Clauses in Advisory Agreements: Is Yours Compliant?

The SEC recently announced settled charges against two registered investment advisers (collectively, “Respondents”) for violations of the Advisers Act due to compliance failures in their investment advisory agreements. The order highlights the SEC’s continued focus on advisory contract provisions, particularly hedge clauses and assignment language, that may mislead clients on the adviser’s fiduciary duty or fail to comply with consent requirements for assignments.

Form ADV Annual Amendment Deadline 2026: What RIAs Need to File

Registered investment advisors (“RIAs”) and exempt reporting advisers (“ERAs”) will soon begin receiving automated reminder emails from the Investment Adviser Registration Depository (“IARD”) stating that the annual Form ADV amendment is due within 90 days of the firm’s fiscal year end.

SEC’s Reg S-P Document Request List: What Examiners Will Ask For

On January 22, 2026, the SEC held its final webinar on Amended Regulation S-P. This webinar focused on compliance issues for smaller entities with less than $1.5 billion in assets under management.

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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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