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.
We have received notice that at least one firm has received phishing emails purporting to be FINRA from the domain [domain?].
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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 December 3, 2024, a district court in Texas issued a nationwide preliminary injunction against the enforcement of the Corporate Transparency Act (CTA) and its reporting on Beneficial Ownership Information to the Treasury Department.
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