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Go beyond compliance consulting and partner with Fairview.

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We help you maintain a meaningful and fully documented compliance program.

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What We Do

We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.

Dedicated Compliance Team

We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.

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Our services don’t stop at consulting.

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OUR CLIENTS KNOW

We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.

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Advisers
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Assets Under Compliance

Administration

Leadership Team

Frank Watson

Frank Watson

President

Ellen Harvin

Ellen Harvin

Vice President

John Marriott

John Marriott

Vice President

An Expert Team Makes All The Difference.

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Latest Flash Reports

Our industry is consistently changing and we want to keep you up to date with how it affects you.

Adviser Charged with Defrauding Clients

By | Dec 14th, 2017|

Adviser Charged with Defrauding Clients WHAT HAPPENED? On December 11, 2017, the SEC charged a dually registered investment adviser and broker-dealer, and its principal (collectively, the “Defendant”), with defrauding [...]

Division of Enforcement Releases Annual Report

By | Nov 22nd, 2017|

Division of Enforcement Releases Annual Report WHAT HAPPENED? On November 15, 2017, the SEC’s Division of Enforcement released its annual report for Fiscal Year 2017 (“FY 2017”).  The report [...]

SEC Charges Unregistered Fund Manager

By | Nov 2nd, 2017|

SEC Charges Unregistered Fund Manager WHAT HAPPENED? On October 26, 2017, the SEC charged an unregistered investment adviser and its principals (“collectively, the “Respondents”) with engaging a private fund [...]

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