News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

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SEC Proposes Changes to Form 13F

Proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.

Nine Things to Notice: SEC Examiners’ Focus Areas

As capital markets shift and the risks to market participants change, so do the focus areas of routine SEC exams.

LIBOR Transition Compliance Risks

On June 18, 2020, the OCIE announced an exam initiative and issued a subsequent Risk Alert about LIBOR transition preparedness.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.

Our Firm Filed Form CRS – What Now?

Retail advisers and their service providers have put much time and effort into understanding, writing, and filing the initial Form CRS document. The requirements related to the Form do not stop once the filing is complete; several additional steps must be taken after submitting the form to the SEC.

Look for Fairview at the NSCP National Conference

Oct. 19-21, 2020, the NSCP will hold its annual national conference virtually. In addition to sponsoring the event, Fairview’s Vice President and General Counsel, Amber Allen, will lend her expertise to the conference, speaking on “Evolving Custody Responsibilities.”

The CCPA Enforcement Date Is Approaching: What You Should Know

July 1, 2020, the California Consumer Privacy Act (CCPA) enforcement date is fast approaching. The original adoption of the regulations, on Jan. 1 of this year, contained a six-month enforcement delay.

Firm Misused MNPI, Ordered to Pay $1 Million

On May 26, 2020, the United States Securities and Exchange Commission released documentation detailing an enforcement action against a Los Angeles private equity firm and registered investment adviser, Ares Management, for its misuse of material nonpublic information (MNPI).

Adviser Fined $60,000 for Custody Rule Violation

On May 22, 2020, the SEC published information on an enforcement action against a registered investment adviser. The firm was investigated, and subsequently disciplined by the SEC for violating the Custody Rule.

Six Ways to Help Protect Your Firm from a Cybersecurity Breach

Between the changes in our work devices and the large influx of pandemic-related news, many emerging vulnerabilities exist in companies’ data security landscapes.

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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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