News & Insights: Risk Alert

SEC Risk Alert on Compensation Conflicts: What Your Compliance Program Should Address

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

Read More

SEC Exam Observations: ESG Investing Risks

Recently, the U.S. SEC released a Risk Alert outlining specific compliance concerns associated with environmental, social, and governance (ESG) investing.

Investments in Certain Chinese Companies Restricted Under New Executive Order

The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.

The SEC’s 9 recommendations for avoiding “credential stuffing” attacks

Credential stuffing may lead to clients being in danger of loss of assets or public exposure of sensitive information.

Risk Alerts From OCIE: Form CRS and Reg BI

OCIE released two Risk Alerts to address upcoming compliance expectations for the new Form CRS and Regulation Best Interest requirements. OCIE acknowledges that the COVID-19 pandemic has created unusual issues for firms but will continue to conduct examinations as usual.
  • SEC
  • 13 Apr, 2018

SEC Office of Compliance Inspections and Examinations Releases Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations

OCIE released a compiled list of compliance issues relating to fees and expenses most frequently identified in deficiency letters sent to advisers.

Filter by Topic

Click Below to View General Filing Deadlines and SEC Holidays

Interactive Calendar

2026 Downloadable Compliance Calendars

Downloadable Calendars

Stay up to date on the latest industry news and resources.

Fairview

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.

©2026 Fairview® Investment Services, LLC. All rights reserved.

1330 St. Mary’s St.
Suite 400
Raleigh, NC 27605

info@fairviewinvest.com
919.706.4100
FAX: 800.770.9925