Fairview performs all necessary compliance tasks and processes for its clients, transforming your compliance manual into a set of compliance operations that capture testing, recordkeeping and reports on a secure, web-based platform. We aren’t just a compliance consultant – we are your compliance headquarters.
We can also coordinate the entire start up process for your fund, including drafting your offering documents and selecting your key service providers.
Fairview offers a complete turn-key solution for SEC Registration. The Dodd Frank Act created new regulations that may require your firm to register with the SEC before July of 2011. Fairview will draft and file your Form ADV Part 1 and Part 2A&B with the SEC. We will also create all of your compliance policies and procedures and integrate them into your organization so that you will be fully compliant when your registration becomes effective.
The DOL has proposed the extension of the Fiduciary Rule's applicability date from April 10, 2017 to June 9, 2017. Read More
The SEC has released a 'no-action' letter to address how first-party and third-party money movement can trigger custody. Read More
The DOL has sent paperwork to the OMB requesting a delay in the implementation of the Fiduciary Rule. Read More