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.
The SEC's October 2026 Custody Rule proposal creates a compliant pathway for advisers to hold crypto assets, eases private fund audit requirements, and codifies years of no-action guidance. Here's what it means for your firm.
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The SEC and CFTC have pushed the Form PF amendments compliance date back again, from October 1, 2026, to July 1, 2027. It's the fourth extension of the rule. Here's what it means for private fund and hedge fund advisers.
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On September 14, 2026, the SEC Division of Examinations published a Risk Alert on observations of investment advisers’ annual compliance reviews. Although registered investment advisers have had to conduct annual compliance reviews for over twenty years, the SEC observed a number of deficiencies that investment advisers should consider as they complete these reviews.
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