News & Insights: Investment Administration

DOL Voluntarily Dismisses Appeal to Defend DOL PTE Fiduciary Guidance

The Department of Labor (DOL) voluntarily dismissed its appeal of the district court decision that struck down the DOL’s fiduciary reinterpretation of fiduciary status for advisers making rollover recommendations to retirement investors. 

SEC Risk Alert on Observations of LIBOR-Transition Preparedness

On May 11, 2023, the SEC’s Division of Exams (“EXAMS”) published a Risk Alert to remind registrants of the discontinuation of U.S. Dollar LIBOR after June 30, 2023. The Risk Alert also discussed firms’ practices to manage the transition.

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 Risk Alert for Newly-Registered Advisers

On March 27, 2023, the SEC’s Division of Exams (“EXAMS”) published a risk alert on observations from examinations of newly-registered advisers.

SEC Reopens Comment Periods for Cybersecurity, ESG, and More

In a surprising development, the U.S. Securities and Exchange Commission (SEC) announced that they would reopen the comment period on specific rulemaking releases between June 2021 and August 2022.

SEC Charges Two Advisory Firms for Custody Rule Violations Among Other Violations

On September 9, 2022, the SEC charged several investment advisers who failed to comply with requirements regarding safekeeping client assets.

Proposed Amendments to Form PF

The SEC proposed amendments to Form PF that “are designed to provide greater insight into private funds operations and strategies”.

2021 SEC Examination Priorities: What You Should Know

On March 3, 2021, the Division of Enforcement of the U.S. SEC (the Division) released its list of 2021 Examination Priorities.

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.

SEC Proposes Rule to Modernize Fund Valuation Practices

The SEC is taking steps to improve the requirements. The rule intends to aid retail investors in gaining fair and complete information about their fund investments by making fund information more accurate and accessible.

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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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