News & Insights: Jeremy McCamic

Jeremy leads the Policy Management team, which is responsible for staying current with regulatory changes and how they impact the firm’s investment adviser clients.

SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG

The SEC charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations.

The New Marketing Rule Part 4 – Implications for Social Media

The new SEC Marketing Rule may bring changes to RIAs’ compliance programs. If you have any questions or need help, contact Fairview.

The New Marketing Rule Part 3 – General Prohibitions

The new SEC Marketing Rule will bring changes to RIA compliance programs. If you have questions or need help navigating the new rule, contact us today.

The New SEC Marketing Rule Part 2 – What are Testimonials and Endorsements?

The new SEC Marketing Rule provides guidance on the usage of testimonials and endorsements. If you have questions about the rule, contact us today.

The New Marketing Rule: Part 1 – What is an Ad?

On December 22, 2020, the SEC passed amendments to the advertising and cash solicitation rules, along with updates to other requirements for registered investment advisers. The new SEC Marketing Rule provides more details on what constitutes an ad.

SEC Exam Trends

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined […]

The New Marketing Rule: RETIRING NO-ACTION LETTERS

When the SEC adopted the Marketing Rule, it rescinded the Cash Solicitation Rule as of the Marketing Rule’s compliance date.

The SEC’s Latest Exam and Request List Trends

Some focus areas, like cybersecurity and business continuity, are more relevant than ever with the changes to how business is conducted worldwide.

No Need to Report Certain Home Offices on Form ADV

The SEC clarified there is no need to report a remote home office on Form ADV if part of a firm’s pandemic response and business continuity plan.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

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