John Marriott joined Fairview in 2007. He has been instrumental in building out Fairview’s Investment Administration, Compliance Administration, and Performance practices, and remains a senior leader on both the Investment and Compliance Administration practices today. John oversees fund accounting and shareholder services for Fairview’s investment administration practice. With his deep background in private fund administration, John specializes in working with complex clients that have alternative products. A more than 20-year veteran of the financial services industry, John previously owned and managed a transfer agent that serviced more than 100 pooled products.
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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The SEC’s Division of Examinations (“EXAMS”) will intensify its focus on artificial intelligence (AI) usage, according to its 2025 Examination Priorities, released last week.
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On October 16, 2024, the New York State Department of Financial Services (“NYDFS”) published an industry letter (the “Guidance”) discussing the increasing reliance on artificial intelligence (“AI”) and its associated cyber risks. This is one of the most detailed state laws regarding cybersecurity.
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