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/Fairview Flash Reports
Fairview Flash Reports2017-06-19T17:48:33+00:00
Jul19, 2018

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule

By |Jul 19th, 2018|Advisers Act, Enforcement, Fairview Flash Reports, Marketing and Social Media, U.S. Securities and Exchange Commission|

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule WHAT HAPPENED? On July 10th, 2018, the Securities and Exchange Commission (SEC) settled proceedings against two registered investment advisers, [...]

Apr13, 2018

SEC Office of Compliance Inspections and Examinations Releases Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations

By |Apr 13th, 2018|Fairview Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

SEC Office of Compliance Inspections and Examinations Releases Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations WHAT HAPPENED? On April 12, 2018, the Securities [...]

Apr11, 2018

SEC Charges Investment Adviser for Improperly Registering and Violating Multiple Rules

By |Apr 11th, 2018|Custody, Enforcement, Fairview Flash Reports, Registration, Disclosure and Filing Requirements, U.S. Securities and Exchange Commission|

SEC Charges Investment Adviser for Improperly Registering and Violating Multiple Rules WHAT HAPPENED? On April 5th, 2018, the Securities and Exchange Commission (SEC) charged an investment adviser for improperly [...]