News & Insights: Frank Watson

Frank founded Fairview in 2005 with the goal of developing streamlined back-office and compliance solutions for investment advisers.

OCIE Risk Alert: common compliance program issues

OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.

OCIE examiners report common branch office compliance deficiencies

The OCIE released a new Risk Alert outlining recent observations from examinations of SEC-registered investment advisers.

CCO faces $45,000 fine after falsifying documentation

Recently, a dually registered investment adviser and broker-dealer, and its former Chief Compliance Officer, were charged and fined by the SEC.

LIBOR Transition Compliance Risks

On June 18, 2020, the OCIE announced an exam initiative and issued a subsequent Risk Alert about LIBOR transition preparedness.

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).

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.

Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company

The SEC released information that a registered investment adviser, Strategic Planning Group, and its principals, David Rourke and Jarrod Sherman, were charged for failing to disclose conflicts of interest to clients and on Form ADV.

SEC Accepts Public Comment on Private Securities Offering Exemptions

The call for comment is directed toward startups, investors, and entrepreneurs who have worked within the existing exempt offering framework.

Regulation Best Interest: What You Should Know

The SEC adopted Regulation Best Interest (BI) which is intended to raise the standard of conduct for broker-dealers working with retail customers. The regulation had been under consideration since April 2018 and was passed by the Commission in a three-to-one vote.

SEC Officials Comment on Evolving Proxy Voting Process

SEC Commissioner Elad Roisman and Director of the Division of Investment Management, Dalia Blass, spoke on the future of the proxy voting process.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

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

Filter by Category

Filter by Topic

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.

©2024 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