Go beyond compliance consulting and partner with Fairview.
We help you maintain a meaningful and fully documented compliance program.
What We Do
We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.
OUR CLIENTS KNOW
We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
Assets Under Compliance
Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it effects you.
House Panel Passes Bill to Repeal DOL Fiduciary Rule WHAT HAPPENED? On October 12, 2017, the House Financial Services Committee passed the Protecting Advice for Small Savers Act of [...]
RIA Examinations Expected to Rise by 25% Over Next 2 Years WHAT HAPPENED? In a testimony to Congress, SEC Chairman Clayton stated that the SEC is on track to [...]
SEC Spoofed Emails Used In Spear Phishing Attack WHAT HAPPENED? Cisco’s Talos Intelligence Group has identified a targeted cyber-attack focusing on specific organizations. The malware began with a targeted [...]
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 [...]
SEC Provides Updates from Investigation of 2016 Cyber Intrusion WHAT HAPPENED? On October 2, 2017, the SEC provided an update on its ongoing staff investigation of the 2016 cyber [...]
SEC Creates Cyber Unit and Retail Strategy Task Force WHAT HAPPENED? On September 25, 2017, the SEC announced the creation of the Enforcement Division’s Cyber Unit and Retail Strategy [...]