Ellen Harvin joined Fairview in 2005. Today, her primary focus is leading Fairview Compliance Administration, which provides compliance services to more than 160 advisers and other financial firms, exceeding $370 billion in collective assets. In this capacity, she oversees the delivery of premium service to a wide range of clients including launching and maintaining compliance programs, conducting compliance training, monitoring, and testing policies and procedures, and coordinating client responses to SEC regulatory exams.
Ellen has worked in financial services since 2004. Prior to that, she worked as a vice president in account management at a full-service marketing and advertising firm, where she developed her expertise in account management that laid the foundation to build the client service model that Fairview still uses today.
On February 4, 2025, SEC Commissioner Hester M. Peirce issued a statement on the future of the Crypto Task Force. The Task Force’s approach starts with engagement with the crypto industry and the public to provide regulatory clarity, while simultaneously disentangling the many threads of active litigation surrounding crypto.
Read MoreThe SEC issued a press release on Friday, February 7th, with a decision to provide a temporary exemption from compliance with Rule 13f-2 and Form SHO reporting until 2026. As a result of the exemption, the first reporting period will now be January 2026
Read MoreUnder Rule 13f-2, investment advisers must monitor their month to month short selling activity in equity securities. If a reporting threshold is met during a calendar month, then a Form SHO filing is due 14 calendar days after month end. January 2025 was the first month after the compliance date of Rule 13f-2.
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