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.
Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for system processing and jurisdiction-related renewals.
Read MoreAs we near budget planning season for many firms, large entities in particular (including RIAs with $1.5 billion or more in AUM) should be sure to account for costs that may be associated with complying with Amended Regulation S-P.
Read MoreWhat happened? On October 10, 2024, The SEC announced charges against Rimar Capital USA, Inc. […]
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