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Fairview Flash Reports 2017-07-11T18:28:06+00:00
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 [...]

Sep8, 2017

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients

By | Sep 8th, 2017|Enforcement, Fairview Flash Reports, Marketing and Social Media, Mutual Fund and Institutional Issues, Trading and Valuation, U.S. Securities and Exchange Commission|

SEC Charges Investment Adviser with Defrauding Clients and Prospective Clients WHAT HAPPENED? On August 31, 2017, the SEC charged an investment adviser and its principal (collectively, the “Defendant”) with misleading [...]

Aug1, 2017

Dual Registrant Fails to Disclose Conflict of Interest from Revenue Sharing

By | Aug 1st, 2017|Enforcement, Fairview Flash Reports, Mutual Fund and Institutional Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Dual Registrant Fails to Disclose Conflict of Interest from Revenue Sharing WHAT HAPPENED? On July 19, 2017, the SEC charged a dually-registered investment adviser and broker dealer (“Respondent”) for failing to disclose [...]

Jul28, 2017

Upcoming Amendments to Form ADV

By | Jul 28th, 2017|Books and Records, Fairview Flash Reports, Mutual Fund and Institutional Issues, Private Equity Issues, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

Upcoming Amendments to Form ADV WHAT HAPPENED? The new ADV reporting requirements go into effect October 1, 2017. Under the revised Form ADV, advisers will: require investment advisers to disclose [...]