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.
Dedicated Compliance Team
We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
Find the right Compliance Partner
Our services don’t stop at consulting.
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Stay up to date on what is going in the financial compliance industry.
OUR CLIENTS KNOW
We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
BILLION
Assets Under Compliance
Administration
Leadership Team
Frank Watson
President and CEO
Ellen Harvin
Executive Vice President
John Marriott
Executive Vice President
An Expert Team Makes All The Difference.
Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
SEC Adopts Rule Amendments, Issues Guidance on Proxy Voting Process
SEC Adopts Rule Amendments, Issues Guidance on Proxy Voting Process WHAT HAPPENED? On July 22, 2020, the United States Securities and Exchange Commission adopted rule amendments and issued additional [...]
Are You Taking Steps To Avoid Ransomware Attacks?
Are You Taking Steps To Avoid Ransomware Attacks? WHAT HAPPENED? Earlier this month, the Office of Compliance Inspections and Examinations of the United States Securities and Exchange Commission (OCIE) [...]
New Security Feature for Web CRD and IARD Systems
New Security Feature for Web CRD and IARD Systems WHAT HAPPENED? For Super Account Administrators (SAAs) and Account Administrators (AAs) on FINRA’s Web CRD or IARD platforms, a new [...]
SEC Proposes Changes to Form 13F
SEC Proposes Changes to Form 13F WHAT HAPPENED? On July 10, 2020, the United States Securities and Exchange Commission proposed amendments to Form 13F reporting. The changes would affect [...]
Nine Things to Notice: SEC Examiners’ Focus Areas
Nine Things to Notice: SEC Examiners’ Focus Areas WHAT HAPPENED? As capital markets shift and the risks to market participants change, so do the focus areas of routine SEC [...]
LIBOR Transition Compliance Risks
LIBOR Transition Compliance Risks WHAT HAPPENED? On June 18, 2020, the Office of Compliance Inspections and Examinations of the United States Securities and Exchange Commission (OCIE) announced an exam [...]