John Marriott joined Fairview in 2007. He has been instrumental in building out Fairview’s Private Fund Administration, Compliance Administration, and Investment Performance Services, and remains a senior leader on both the Investment and Compliance Administration practices today. John oversees fund accounting and shareholder services for Fairview’s Private Fund Administration, as well as our AML/CFT Services. 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 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.
Read More
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.
Read More
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.
Read More
