News & Insights: Compliance Administration

SEC Proposes to Enhance Disclosures About ESG Investment Practices

The SEC proposed to enhance disclosures about ESG investment practices. If you have questions about ESG and your compliance program, Fairview can help.

The New Marketing Rule Part 5 – Challenges for Performance Advertising

The new SEC Marketing Rule provides new guidance on performance advertising. Find out what you need to know, and how it may impact your compliance program.

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.

Risk Alert on MNPI

Restrictions on the use of material non-public information are one of the cornerstones of the SEC’s regulatory framework.

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.

Reminder: Annual Form PF filing Due April 30, 2022

Although IARD/PFRD is scheduled to be available Saturday the 30th, we recommend filing be completed by April 29th.

2022 SEC Examination Priorities ESG, Private Funds, Data Security, and Digital Assets

On March 30, 2022, the Division of Examinations (the Division) published its 2022 Examination Priorities.  These annual priorities highlight practices, products, and services that present heightened risks to investors or U.S capital markets.

Click below to view General Filing Deadlines and SEC Holidays

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