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.
On July 7, 2026, the SEC announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors. The group will focus on identifying offering frauds, pump-and-dump schemes, market manipulation, and breaches of duties to customers by investment advisers and broker dealers.
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A recent SEC document request letter could be indicative of a long-predicted sweep of firms for the SEC to evaluate compliance with Amended Regulation S-P, according to at least one news outlet. Thirty items gleaned from a new SEC document request letter focus on cybersecurity protections and breaches.
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On June 8, 2026, the SEC announced settled charges against an investment adviser and its former CEO for breaches of fiduciary duty and other violations. According to the order, the firm failed to disclose conflicts of interest connected to investments it recommended to advisory clients.
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