Flash Reports | Page 22 of 26 | Fairview Investments

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.

Flash Reports
03 Sep, 2026

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.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.

Flash Reports
24 Jun, 2020

Our Firm Filed Form CRS – What Now?

Retail advisers and their service providers have put much time and effort into understanding, writing, and filing the initial Form CRS document. The requirements related to the Form do not stop once the filing is complete; several additional steps must be taken after submitting the form to the SEC.

Firm Misused MNPI, Ordered to Pay $1 Million

On May 26, 2020, the United States Securities and Exchange Commission released documentation detailing an enforcement action against a Los Angeles private equity firm and registered investment adviser, Ares Management, for its misuse of material nonpublic information (MNPI).

Flash Reports
27 May, 2020

Adviser Fined $60,000 for Custody Rule Violation

On May 22, 2020, the SEC published information on an enforcement action against a registered investment adviser. The firm was investigated, and subsequently disciplined by the SEC for violating the Custody Rule.

Flash Reports
30 Apr, 2020

SEC Makes Updates to Regulatory Relief Guidance

The SEC updated a set of frequently asked questions (“FAQs”) to guide COVID-19 regulatory relief.

10 Things to Document When Implementing Your Business Continuity Plan

In the COVID-19 pandemic, widespread shutdowns and stay-at-home orders are in place. Under these circumstances, maintaining thorough documentation of your firm’s Business Continuity Plan implementation is critical.

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.

Flash Reports
17 Mar, 2020

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC remains focused on maintaining a fair and orderly market and continuing its operations. The Commission has transitioned most of its staff to work remotely and conducts remote exams and enforcement.

Flash Reports
04 Mar, 2020

How to Plan for a Pandemic

Health officials worldwide are monitoring a respiratory illness outbreak caused by a new coronavirus named COVID-19.

Flash Reports
21 Feb, 2020

Form CRS: The Latest Tips for Preparing – UPDATE!

On Feb. 11, 2020, the SEC released a new Frequently Asked Questions about Form CRS. Among other helpful information, the FAQs address that adviser affiliates of a registered adviser may jointly file a four-page Form rather than a two-page disclosure.