News & Insights: Compliance Administration

The SEC’s New Marketing Rule: Here’s What You Should Know Now

SEC amendments to the advertising and cash solicitation rules could bring significant changes to investment advisers.

The Top 10 Regulatory Headlines for Investment Advisers

Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.

SEC Exam Trends: 5 Areas of Focus for RIAs

Examiners may focus on certain compliance risks that have been identified or those itemized in a Risk Alert.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.

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.

New Investment Company Act rule updates regulatory requirements for fund of funds arrangements

Recently, the SEC adopted a new rule and related amendments regarding fund of funds arrangements. Rule 12d1-4, aims to streamline a comprehensive regulatory approach to these arrangements.

IARD Annual Renewal Dates

Every year at this time, FINRA will post its Renewal Statements in the IARD Portal.

Reminder: Upcoming SEC Compliance Outreach Seminar

The seminar will focus on providing resources to Chief Compliance Officers and other senior members of registered investment advisers and investment companies.

Are your documents and website up to ADA standards?

The Americans with Disabilities Act of 1990 (ADA) lays out guidelines for how to make documents widely accessible. Learn more about how we can help.

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