Flash Reports | Page 40 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
08 Sep, 2017

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients

The SEC charged an investment adviser and its principal with misleading clients and prospective clients about the performance track record of an investment strategy they offered.

Flash Reports
29 Aug, 2017

SEC Charges Hedge Fund Adviser with Failure to Prevent Insider Trading

Advisory firm policies should ensure firm’s compliance program is able to efficiently identify and address any potential risks.

Flash Reports
29 Aug, 2017

SEC Conducts Surprise Examinations

The SEC’s Boston Regional Office has confirmed that it has randomly visited close to 20 registered investment advisers in the region to conduct examinations without providing any prior notice.

Flash Reports
29 Aug, 2017

Hedge Fund Manager Charged with Misappropriating Investor Funds

On August 11, 2017, the SEC charged a hedge fund manager with misappropriating investor money between different funds he managed. These improper allocations were used to pay for legal and administrative expenses incurred by certain hedge funds during ongoing litigation with the SEC.

DOL
18 Aug, 2017

DOL Provides Conflict of Interest FAQs Around Fiduciary Rule

On August 3, 2017, the DOL released a conflict of interest FAQs to provide additional clarification around the Fiduciary Rule. In the FAQ, the DOL provides guidance. The DOL will likely provide additional guidance during this transition period leading up to January 1, 2018.

Flash Reports
01 Aug, 2017

Dual Registrant Fails to Disclose Conflict of Interest from Revenue Sharing

On July 19, 2017, the SEC charged a dually-registered investment adviser and broker dealer (“Respondent”) for failing to disclose compensation received from a third-party broker-dealer (“Broker”).

Flash Reports
17 Jul, 2017

SEC Fines Private Equity Firm for Inaccurate Disclosures

The SEC charged a registered real estate private equity firm with executing a transaction between two funds (“Fund I” and “Fund II”) it advised on different terms than what was disclosed to the Fund I investor advisory committee (“Fund I IAC”).

Flash Reports
16 Jun, 2017

SEC Updates Form ADV FAQs

On June 12, 2017, the SEC released new Form ADV FAQs to provide guidance on recent amendments made to the form. The additions to the FAQs are related to Items 1.I, 1.J, 5.D, 5.K, 7.B and Schedule R. The SEC also provided an update to Item 1.O of the Form ADV.

Flash Reports
30 May, 2017

DOL Releases FAQ on Conflicts of Interest During the Transition Period

The Department of Labor has released an FAQ focused on the transition period after the June 9th implementation of the Fiduciary Rule and related prohibited transaction exemptions.

Flash Reports
24 May, 2017

Legal Risks Associated with Cyberattacks

The recent ransomware attack that has affected over 100,000 organizations has emphasized how immense the potential impact can be on the financial services industry. Firms must protect their network from these threats through various technical lines of defense.