Registration, Disclosure and Filing Requirements

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SEC Proposes Changes to Form 13F

SEC Proposes Changes to Form 13F WHAT HAPPENED? On July 10, 2020, the United States Securities and Exchange Commission proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements. Because the filing requirements have not been updated since adoption [...]

Our Firm Filed Form CRS – What Now?

Our Firm Filed Form CRS - What Now? WHAT HAPPENED? Initial filings of Form ADV Part 3 (Form CRS) are due by June 30, 2020. For months, retail advisers and their service providers have put much time and effort into understanding, writing, and filing the initial Form CRS document. [...]

Risk Alerts From OCIE: Form CRS and Reg BI

Risk Alerts From OCIE: Form CRS and Reg BI WHAT HAPPENED? On April 7, 2020, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission released two Risk Alerts to address upcoming compliance expectations for the new Form CRS and Regulation Best Interest [...]

Important Upcoming Deadlines for SEC Registered Investment Advisers

Important Upcoming Deadlines for SEC Registered Investment Advisers WHAT IS HAPPENING? There are several key deadlines for SEC registered investment advisers in the coming weeks, including form distribution and filings and annual reviews for many. If your firm or fund’s fiscal year ended on 12/31/2019, some dates to keep [...]

How to Prepare for Form CRS

How to Prepare for Form CRS Recently, Amber Allen, Vice President and General Counsel, and Nick Byrne, Relationship Manager, of Fairview offered their knowledge of Form CRS to help advisers navigate the new filing requirement. Find the full article below, which provides in-depth guidance from our compliance professionals. [...]

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles WHAT HAPPENED? In response to the unusual state of global securities infrastructures stemming from COVID-19, the SEC is continuing to provide regulatory relief to struggling entities. This week, the SEC expanded on a recently released relief package to extend [...]

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation ***UPDATE*** On March 23 and 25, 2020, the SEC released further extended dates for the items listed below.  WHAT HAPPENED? While the international COVID-19 outbreak continues to affect the lives of the [...]

Form CRS: The Latest Tips for Preparing – UPDATE!

Form CRS: The Latest Tips for Preparing – UPDATE! WHAT HAPPENED? On Feb. 11, 2020, the Securities and Exchange Commission released a set of new Frequently Asked Questions about Form CRS. Among other useful information, the FAQs address that adviser affiliates of a registered adviser may jointly file a [...]

Exam Takeaways: SEC and DOL Joint Exams

Exam Takeaways: SEC and DOL Joint Exams WHAT HAPPENED? Regulatory requirements and expectations for firms are constantly evolving; with that, examination practices are changing as well. An emerging approach to routine examinations includes exam teams from both the Securities and Exchange Commission and the Department of Labor collaborating on [...]

OCIE Releases 2020 Examination Priorities

OCIE Releases 2020 Examination Priorities WHAT HAPPENED? On Jan. 7, 2020, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (OCIE) released its 2020 Examination Priorities. The list is published annually to provide clear guidance to professionals and to highlight pertinent risks to investors. Several [...]