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Home/Services/Compliance Administration
Compliance Administration 2017-07-12T02:13:29+00:00

Fairview will support the operations of your compliance program so that required records, filings, screenings, client set-up and reporting are current and readily available. Fairview has the capability to design and execute your compliance infrastructure and executing an existing compliance program. Fairview makes sure that internal controls are built into your operations processes, making compliance features inherent to the culture of your firm.

With Fairview, you can count on innovative, streamlined back office operations and technology to help support your compliance program. With our solutions, it is possible to grow your assets under management without investing in additional operational infrastructure.

We do compliance differently. We are your compliance partner, not a compliance consultant. We offer an ongoing, client-based solution.

We do the work.

Fairview performs compliance tasks and processes for its clients, transforming your compliance manual into a set of compliance operations which captures testing, recordkeeping, and reports.

  • Real-time records

  • Continuous monitoring and testing

  • Detection and resolution of exceptions

  • Best practices

  • Preparation for inspection or due diligence

Turn-key Setup & Execution – Customized to Your Firm.

Our Compliance Services Include:

Registration and filings

Maintenance of policies and procedures, including cybersecurity policies and procedures

Code of ethics / Personal trading

Risk assessment

Integration of regulatory changes

Testing of policies and procedures

Review of trading processes

AML screening

Regulatory filings

Marketing and advertising review and tracking

Logging recordkeeping

Annual Review

Documentation of compliance review

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