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.
2026 will be one of constant changes for the SEC and regulatory professionals. As you surf these waves of change, here are three key predictions for Compliance Programs in 2026 to help keep you afloat.
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On January 15, 2026, the SEC updated its Marketing Rule FAQ with new guidance for model performance and disqualifying events for compensated promoters giving testimonials or endorsements.
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The SEC has announced it will hold its final Amended Regulation S-P outreach event on January 22, 2026, at 11:00 AM ET, in anticipation of the upcoming June 3, 2026, compliance deadline for small firms.
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