Under Frank’s leadership, Fairview has grown from a two-person business to a mid-sized, full-service firm with six distinct business lines, offering adviser compliance, private fund administration, performance reporting, cybersecurity compliance solutions, and AML/CFT services, with a team of over 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.
Fidelity Brokerage Services has agreed to pay $1.25 million after it failed to enforce “appropriate cybersecurity controls” in 2024, leading to a significant data breach affecting approximately 77,000 customers, according to an announcement by Secretary of the Commonwealth of Massachusetts William Galvin on April 27.
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The SEC and CFTC have released interpretive guidance on the application of the federal securities laws to crypto assets and transactions involving crypto assets.
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On April 20, 2026, the SEC and CFTC jointly proposed amendments to Form PF that would drastically reduce both the number of filers and the specific requirements for reporting that have expanded through prior amendments.
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