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.
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 [...]
Department of Labor Announces 18-Month Delay of the Fiduciary Rule WHAT HAPPENED? The Department of Labor has announced that the applicability date of the Fiduciary Rule’s Best Interest Contract [...]
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 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 [...]