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 December 26, 2024, a merits panel of the Fifth Circuit Court of Appeals reinstated a nationwide injunction blocking enforcement of the Corporate Transparency Act (CTA) and its required reporting of beneficial ownership information.
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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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We have received notice that at least one firm has received phishing emails purporting to be FINRA from the domain [domain?].
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