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.
The SEC announced on January 13, 2025, that two brokerage firms agreed to pay a combined $45 million, $33.5 million, and $11.5 million, respectively, in civil penalties relating to multiple SEC charges stemming from their brokerage operations.
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The Securities and Exchange Commission (“SEC”) announced charges against nine investment advisers and three broker-dealers for failures to maintain records of electronic communications by employees, in violation of federal securities laws. The firms paid penalties ranging from $4 million to $12 million, except for one firm that self-reported its violations and paid the reduced penalty of $600,000.
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On December 20, 2024, the SEC announced settled charges against Rose Park Advisors, LLC (“Rose Park”), a Boston registered investment adviser, and its managing partner, Matthew Q. Christensen (“Christensen”). The charges stemmed from failing to disclose significant conflicts of interest related to investments made by one of their clients (“the Fund”), which invested nearly $50 million in a portfolio company run by Christensen’s uncle.
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