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 affects you.
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 [...]
SEC Grants Relief to Broker-Dealers and Investment Advisers WHAT HAPPENED? On October 26, 2017, the SEC released three no-action letters that will provide 30 months relief under the Investment [...]
Natural Disasters Emphasize Need for Business Continuity and Transition Plans WHAT HAPPENED? The United States has experienced extreme turmoil in recent months from the widespread damage inflicted by Hurricane [...]
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 [...]