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News & Insights: Compliance Administration

Flash Reports
31 Mar, 2022

Shocking Recension and Amendment of the Proxy Adviser Rule Threatens Shareholder Democracy

In November 2021, the U.S. Securities and Exchange Commission’s (the “SEC” or “Commission”) proposed recensions and amendments to the proxy adviser rule under the Investment Advisers Act of 1940.

Adviser Charged with Failing to Disclose Fees and Expenses: Results in nearly $10 million in penalties and reimbursements

On December 20th, a private fund adviser, Global Infrastructure Management, LLC, was charged by the SEC for fee and expense disclosure failures.

SEC Exam Trends

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

SEC Proposes Reforms for Private Funds

The SEC proposed reforms for Private Funds to enhance the regulation of private fund advisers and protect investors in private funds by increasing transparency.

SEC Continues Focus on Private Fund Advisers

As private fund advisers continue to play a larger role in the financial markets, the Division of Examinations published a risk alert of their observations

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

SEC Chair Gensler spoke at Northwestern Pritzker School of Law’s Annual Securities Regulation Institute yesterday, where he focused on the Commission’s cybersecurity initiatives.

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When the SEC adopted the Marketing Rule, it rescinded the Cash Solicitation Rule as of the Marketing Rule’s compliance date.

SEC Focuses on Advisory Fee Calculation: What You Need to Know

During recent regulatory exams, the SEC detected several issues with investment advisers’ fee calculations. Contact us for more info.

Advisers to Private Funds: Going from Exemption Reporting Adviser (ERA) to Fully Registered Adviser

Fairview can assist ERAs to prepare and submit SEC registration and develop and implement the required compliance program. Learn about our services.

New Enforcement Date for DOL Rollover Recommendations: Documenting and Meeting the DOL’s Prohibited Transaction Exemption

DOL will not pursue prohibited transaction claims against firms who are working to comply with certain Impartial Conduct Standards for transactions.

News & Insights: Compliance Administration

Shocking Recension and Amendment of the Proxy Adviser Rule Threatens Shareholder Democracy

Adviser Charged with Failing to Disclose Fees and Expenses: Results in nearly $10 million in penalties and reimbursements

SEC Exam Trends

SEC Proposes Reforms for Private Funds

SEC Continues Focus on Private Fund Advisers

SEC Commissioner Signals Regulatory Changes are underway for Cybersecurity

The New Marketing Rule: RETIRING NO-ACTION LETTERS

SEC Focuses on Advisory Fee Calculation: What You Need to Know

Advisers to Private Funds: Going from Exemption Reporting Adviser (ERA) to Fully Registered Adviser

New Enforcement Date for DOL Rollover Recommendations: Documenting and Meeting the DOL’s Prohibited Transaction Exemption

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