News & Insights: Compliance Administration

New Brand; Same Ownership and Same Quality, Tailored Services

Today, after years of steady growth, Fairview has unveiled a new brand that aligns more closely with the company Fairview is today.

SEC Reopens Public Comment on The Cybersecurity and Risk Management Rule and Proposes Changes to Reg S-P to Enhance Protection of Customer Information

On Wednesday, March 15, the SEC held an opening meeting and announced three proposed rules touching on cybersecurity and also reopened its proposed Cybersecurity Risk Management Rule for more public commentary

Fairview Webinar: The SEC’s Proposed Cybersecurity Risk Management Rule and The Proposed Outsourcing Rule Presentation

Fairview’s team of regulatory experts discuss details of the proposed rule, associated changes, and what RIAs can do to begin to prepare for compliance.

DOL’s Fiduciary Status For Rollovers Struck Down in District Court

On February 13, 2023, the United States District Court’s Middle District of Florida (“the court”) struck down the expanded definition of investment-advice fiduciary put forward by the Department of Labor (DOL) in its Frequently Asked Questions (FAQ) publication from April 2021.

SEC Proposes Rule Changes Related to Custody of Client Assets

On February 15, 2023, the SEC proposed rule changes intended to strengthen custody protections for client assets managed by RIAs. The proposed amendment and redesignation of the Custody Rule (Rule 206(4)-2), as the Safeguarding Rule (Rule 223-1), expands current protections to cover more client asset types and impacts related recordkeeping and reporting requirements.

SEC Expected to Finalize Cybersecurity Rule Spring 2023

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

2023 SEC Examination Priorities: New Rules, Private Funds, Retail Investors and Working Families, ESG, Information Security, and Digital Assets

On February 7, 2023, the SEC’s Division of Examinations (“EXAMS”) published its 2023 Examination Priorities. These annual priorities highlight practices, products, and services that present potentially heightened risks to investors or to US capital markets.

SEC Revises Marketing FAQ to Address Private Fund Net Performance

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

Goldman Sachs Fined $4M for Policy Failures of ESG Investments

The SEC charged Goldman Sachs Asset Management, LP, with maintaining inadequate and inaccurate policies governing its ESG investment strategies.

SEC New Marketing Rule Compliance Date Reminder

Investment advisers can no longer choose to comply with previous advertising and cash solicitation rules following the Nov. 4, 2022, compliance deadline for the new Marketing Rule, rule 206(4)-1, under the Advisers Act.

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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.

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