Flash Reports | Page 38 of 41 | 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.

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
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.

Flash Reports
21 Dec, 2017

SEC Charges Stock Trader with Insider Trading

The SEC charged a stock trader with generating over $1 million in illegal insider trading profits. Defendant collaborated with four former colleagues, posing as portfolio managers, to persuade investment bankers to share nonpublic information regarding upcoming secondary offerings.

Flash Reports
15 Dec, 2017

SEC Modifies Final Rule for Form N-PORT

The SEC has adopted a temporary final rule that will delay the compliance dates for filing a Form N-PORT.

Flash Reports
14 Dec, 2017

Adviser Charged with Defrauding Clients

the SEC charged a dually registered investment adviser and broker-dealer, with defrauding its clients and receiving $780,000 in ill-gotten gains.

Flash Reports
29 Nov, 2017

Department of Labor Announces 18-Month Delay of the Fiduciary Rule

The Department of Labor has announced that the applicability date of the Fiduciary Rule’s Best Interest Contract Exemption, the Principal Transactions Exemption and specific amendments to Prohibited Transaction Exemption 84-24 (PTE)s have been delayed from Jan.1, 2018, to July 1, 2019.

Flash Reports
02 Nov, 2017

SEC Charges Unregistered Fund Manager

Unregistered investment adviser and its principals charged with engaging a fund in conflicted transactions without providing disclosure to the investors.