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Fairview Flash Reports 2017-07-11T18:28:06+00:00
Nov22, 2017

Division of Enforcement Releases Annual Report

By | Nov 22nd, 2017|Enforcement, Fairview Flash Reports, Insider Trading, Marketing and Social Media, Mutual Fund and Institutional Issues, Privacy, Cybersecurity, and Regulation S-ID, Technology, Trading and Valuation, U.S. Securities and Exchange Commission, Uncategorized|

Division of Enforcement Releases Annual Report WHAT HAPPENED? On November 15, 2017, the SEC’s Division of Enforcement released its annual report for Fiscal Year 2017 (“FY 2017”).  The report [...]

Nov2, 2017

SEC Charges Unregistered Fund Manager

By | Nov 2nd, 2017|Enforcement, Fairview Flash Reports, Marketing and Social Media, Private Equity Issues, Registration, Disclosure and Filing Requirements, Trading and Valuation, U.S. Securities and Exchange Commission|

SEC Charges Unregistered Fund Manager WHAT HAPPENED? On October 26, 2017, the SEC charged an unregistered investment adviser and its principals (“collectively, the “Respondents”) with engaging a private fund [...]

Oct10, 2017

Reminder that the New Form ADV Rules Took Effect on October 1, 2017

By | Oct 10th, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Private Equity Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Reminder that the New Form ADV Rules Took Effect on October 1, 2017 WHAT HAPPENED? On October 1, 2017, the amendments to Part 1A of Form ADV and the [...]

Sep22, 2017

Amendments to the Books and Records Rule, Effective October 1st

By | Sep 22nd, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Trading and Valuation, U.S. Securities and Exchange Commission|

Amendments to the Books and Records Rule, Effective October 1st WHAT HAPPENED? Effective October 1st, advisers will be required to comply with the revised Books and Records Rule. Under [...]

Sep15, 2017

OCIE Announces Most Frequent Advertising Rule Risks Identified in Examinations

By | Sep 15th, 2017|Books and Records, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, U.S. Securities and Exchange Commission|

OCIE Announces Most Frequent Advertising Rule Risks Identified in Examinations WHAT HAPPENED? On September 14, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) announced the most frequent compliance [...]