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 March 19, 2025, the SEC updated its Marketing Rule FAQ with new guidance on extracted performance and information on how to navigate the performance versus investment characteristic question.
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On March 14, 2025, the SEC announced that the compliance date for the amendments to the Investment Company Act or “Names Rule” will be extended six months to June 11, 2026.
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The SEC recently issued a no-action letter with guidance on what constitutes “reasonable steps” to verify that a purchaser is an accredited investor.
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