Tracey primarily manages fund accounting operations.
Before Tracey Winters joined Fairview in 2007, she managed various departments at a fund administrator, which has given her broad experience with mutual funds, hedge funds, governmental and nonprofit investment pools, and insurance pools. She has a strong background in portfolio accounting, financial statement preparation, and tax reporting.
The SEC announced on Monday that it settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc., for making false and misleading statements about their purported use of artificial intelligence (AI), according to a SEC press release. This is the first time the SEC has fined investment advisers for false and misleading statements about their use of AI.
Read MoreThis year, Securities and Exchange Commission (SEC) Exams will remain focused on the new Marketing Rule, as well as AI, according to Natasha Vij Greiner, deputy director of the SEC’s Division of Examinations, who recently spoke at the Investment Advisers Association (IAA) Compliance Conference in Washington, D.C.
Read MoreOn March 6, 2024, the Securities and Exchange Commission (SEC) adopted final climate disclosure rules for public companies and in public offerings, according to the SEC’s Press Release.
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