At Fairview, we do things differently. We understand that creating and maintaining a strong SEC compliance program requires a lot of work and ongoing attention. That’s why we deploy technology and a team of SEC regulatory experts to build and maintain comprehensive, tailored compliance programs.
Whether you’re looking for support with your existing adviser compliance program, assistance developing the infrastructure for a new compliance program, or general CCO support in administering your firm’s compliance program, we can help. Our proprietary technology solutions allow us to implement scalable solutions, customized to our clients’ unique needs.
We also help CCOs and investment advisers prepare for SEC exams and provide hands-on support throughout the entire exam process.
CEO, Compliance Administration and Performance Services
Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
The SEC announced on January 13, 2025, that two brokerage firms agreed to pay a combined $45 million, $33.5 million, and $11.5 million, respectively, in civil penalties relating to multiple SEC charges stemming from their brokerage operations.
The Securities and Exchange Commission (“SEC”) announced charges against nine investment advisers and three broker-dealers for failures to maintain records of electronic communications by employees, in violation of federal securities laws. The firms paid penalties ranging from $4 million to $12 million, except for one firm that self-reported its violations and paid the reduced penalty of $600,000.
On December 20, 2024, the SEC announced settled charges against Rose Park Advisors, LLC (“Rose Park”), a Boston registered investment adviser, and its managing partner, Matthew Q. Christensen (“Christensen”). The charges stemmed from failing to disclose significant conflicts of interest related to investments made by one of their clients (“the Fund”), which invested nearly $50 million in a portfolio company run by Christensen’s uncle.
