Jeremy McCamic joined Fairview in 2020 eventually becoming Director of Policy Management and Relationship Manager. In these roles, he oversees a team responsible for monitoring regulatory changes and advising clients as they navigate those changes. This includes writing policies and procedures for use in compliance manuals, and developing internal and external training on new regulations and best practices. As a Relationship Manager, he partners with RIAs and CCOs to provide full compliance administration support.
Prior to joining Fairview, Jeremy was an Associate Attorney at McPherson, Rocamora, Nicholson, Wilson & Hinkle, PLLC.
On November 4, 2024, the SEC Division of Examinations (the “Division”) published a Risk Alert to describe the examination process for advisers of mutual funds, ETFs, and other registered investment companies (“RICs” or “funds”); the selection and scope of such examinations; and observations on core focus areas for RICs, The alert also shares a list of the typical documents and information requested during such examinations.
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On September 9, 2024, the Securities and Exchange Commission (“SEC”) announced settled charges againstnine registered investment advisers for violations of Rule 206(4)-1 under the Investment Advisers Act of 1940(the “Marketing Rule”)
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On November 1, 2024, the SEC Division of Enforcements charged Wahed Invest, LLC ("Wahed"), a registered investment adviser, for violating the Marketing Rule.
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