Under Frank’s leadership, Fairview has grown from a two-person company to a mid-sized, full-service firm with five distinct business lines that provide adviser compliance, private fund administration, performance reporting and cybersecurity compliance solutions with more than 120 employees. Frank also oversees FilePoint, a regulatory tech company that provides full-service regulatory disclosure solutions to clients in the financial industry. Frank has worked in the financial services industry since 1995.
On November 1, 2024, the SEC Division of Enforcements charged Wahed Invest, LLC ("Wahed"), a registered investment adviser, for violating the Marketing Rule.
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The SEC’s Division of Examinations (“EXAMS”) will intensify its focus on artificial intelligence (AI) usage, according to its 2025 Examination Priorities, released last week.
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On October 16, 2024, the New York State Department of Financial Services (“NYDFS”) published an industry letter (the “Guidance”) discussing the increasing reliance on artificial intelligence (“AI”) and its associated cyber risks. This is one of the most detailed state laws regarding cybersecurity.
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