Flash Reports | Page 29 of 33 | 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.

Divided SEC Adopts Private Fund Adviser Reforms

On August 23, 2023, a divided SEC voted to adopt enhanced regulations of private fund advisers and to update the Compliance Rule for all investment advisers.

Flash Reports
28 Feb, 2018

SEC Announces Share Class Selection Disclosure Initiative

The SEC launched a self-reporting initiative to protect advisory clients from undisclosed conflicts of interest and return money to investors.

Flash Reports
21 Feb, 2018

Dodd-Frank Whistleblower Protection Narrowly Applicable

On Wednesday, February 21, 2018 the Supreme Court announced that whistleblower protections passed by Congress following the 2008 financial crisis only apply to those who report problems directly to the government.

Flash Reports
15 Feb, 2018

SEC to Increase Exam Funding for Fiscal Year 2019

The SEC proposed a 3.5 percent increase from the 2018 fiscal budget, for a total of $1.658 billion.

Flash Reports
07 Feb, 2018

SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities

On Feb. 7, 2018, the SEC’s OCIE announced the 2018 examination priorities. The exam priorities are published to improve compliance, prevent fraud, monitor risk and implement policy.

Flash Reports
05 Feb, 2018

SEC Charges Purported Hedge Fund Manager with Fraud

The SEC claims that since 2014 or earlier, the adviser collectively raised more than $5.3 million from at least six investors by misrepresenting the adviser’s prior money-management and industry experience.

Flash Reports
02 Feb, 2018

Important Message from the SEC Regarding Annual Amendment Filing Deadline

Saturday, March 31st is the 90-day annual amendment deadline for Advisers with a Fiscal Year ending on December 31st, 2017.

Flash Reports
01 Feb, 2018

SEC Demands a Jury Trial for Two Investment Advisers Representatives Charged with Fraud

The SEC ordered a trial by jury to be held for alleged claims against two investment adviser representatives on charges of fraudulent and misleading use of their client’s funds while working for a large, well-known Financial institution in Massachusetts.

Flash Reports
31 Jan, 2018

Investment Company Liquidity Risk Management Programs FAQs

The SEC’s Division of Investment Management has prepared a series of frequently asked questions to address the investment company liquidity risk management (“LRM”) program requirements implemented in October 2016.

Flash Reports
08 Jan, 2018

SEC Chairman Clayton Provides Statement on Cryptocurrency and Initial Coin Offerings

SEC Chairman Jay Clayton released a statement on cryptocurrencies and initial coin offerings (ICO) to guide as both markets continue to expand.

Flash Reports
27 Dec, 2017

Private Equity Firm Charged with Failure to Disclose Accelerated Portfolio Monitoring Fees

The SEC charged a private equity fund adviser (“Respondent”) with failing to disclose accelerated portfolio monitoring fees adequately.