Nearly a year ago, the Securities and Exchange Commission (“SEC”) passed Rule 13f-2 under the Exchange Act. Rule 13f-2 seeks to provide greater transparency on short selling by collecting and publishing short sale data. January 2025 is the first month that must be monitored, and if thresholds are crossed, then the first Form SHO filing will be due February 14, 2025. Click the link below to read the full report. https://hubs.li/Q02S-YkC0
Fairview LLC
Financial Services
Raleigh, NC 1,115 followers
Full-service, backend support services for CCOs, RIAs, and the financial services industry.
About us
Providing full-service, backend regulatory support services to investment advisers and other financial institutions through five distinct practice areas: • Compliance Administration: supports CCOs with the day-to-day operations and maintenance of compliance programs so that required records, filings, screenings, client setup and recording are current and readily available. • Cyber Solutions: offers comprehensive cyber and data security solutions to businesses focused on protecting client data. • Performance Solutions: Specializes in composite maintenance. • Regulatory Filings: FilePoint EDGAR Services, LLC is a full-service filing agent specializing in document filing, typesetting, printing and e-distribution, document hosting, website development, and printing fulfillment for investment companies • Investment Administration: supports hedge funds, private equity funds and real estates to provide investor reporting, fund accounting and other administrative services. What makes us different is our emphasis on building and maintaining strong relationships with our clients. This approach, coupled with our use of technology, enables us to provide high-quality, high-touch service to get results.
- Website
-
http://www.fairviewinvest.com
External link for Fairview LLC
- Industry
- Financial Services
- Company size
- 51-200 employees
- Headquarters
- Raleigh, NC
- Type
- Privately Held
- Founded
- 2005
- Specialties
- Investment Adviser Compliance Administration, Private Fund Accounting and Shareholder Services, Investment Adviser SEC Registration, and IA Compliance
Locations
-
Primary
Get directions
1330 St. Mary's Street
Suite 400
Raleigh, NC 27605, US
Employees at Fairview LLC
Updates
-
We have received notice from multiple firms in receipt of phishing emails from a domain that appears to be from a FINRA executive. The phishing campaigns are similar to past phishing campaigns FINRA has experienced. Click the link below to see the full report. https://lnkd.in/geFfwWt6
-
-
Fairview LLC reposted this
This October marks the 21st Cybersecurity Awareness Month. Being informed on the importance of cybersecurity is more vital than ever. We must work together to spread awareness and make a safer digital world to keep family, friends, and community more secure when online! 🛡️🌐 Learn more: https://lnkd.in/eU_sZX28
-
Fairview LLC reposted this
ICYMI: We're kicking off the 21st anniversary of Cybersecurity Awareness Month! This year's theme, Secure Our World, highlights simple steps everyone can take to stay safe online. From enabling MFA to recognizing phishing, learn more at: https://go.dhs.gov/USM #SecureOurWorld
-
-
Happy National Compliance Officer Day to all those who work day in and day out to ensure that the financial services industry operates ethically and within legal boundaries. We see you! #NationalComplianceOfficerDay
-
-
On August 9th, 2024, Illinois Governor J.B. Pritzker signed a law into effect to address employers’ use of artificial intelligence (“AI”). Illinois joins New York City and Colorado in passing laws governing employers’ requirements when using AI to make decisions regarding employment. Click the link below to read the full report. https://hubs.ly/Q02Qkjjg0
-
-
On September 3, 2024, the SEC announced charges against ClearPath Capital Partners, LLC, for failing to comply with rules governing the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements. Click the link below to read the full report. https://hubs.li/Q02Q953W0
-
-
On September 9, 2024, the SEC announced that it had settled charges against nine RIAs for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, endorsements, or third-party ratings that lacked required disclosures. Combined, these nine RIAs agreed to pay $1,240,000 in civil penalties. Click the link below to read the full report. https://hubs.li/Q02PyTC70
-
-
On August 26, the SEC announced that it settled charges against registered investment adviser Sound Point Capital Management LP (“Sound Point”) for “failing to establish, maintain, and enforce written policies and procedures reasonably designed to present the misuse of material nonpublic information (MNPI) concerning its trading of collateralized loan obligations (CLOs)”. Click the link below to read the full report. https://hubs.ly/Q02NPp3n0
-
-
Happy International Women in Cyber Day to our cyber team of extraordinary women! Fairview celebrates the achievements of our female employees today and every day. A huge shout out to Amber Allen, Esq., CIPP (US), Madison Dewey, and Taylor Ward for their continuous leadership, innovation, and dedication. #IWCD #womenincyber
-