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.
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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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.
Are your documents and website up to ADA standards?
Are your documents and website up to ADA standards? WHAT HAPPENED? Clients and shareholders with auditory, cognitive, neurological, physical, speech, and visual impairments use assistive devices, like screen readers, [...]
SEC proposes exemption for finders helping small businesses raise capital
SEC proposes exemption for finders helping small businesses raise capital WHAT HAPPENED? On Oct. 7, 2020, the U.S. Securities and Exchange Commission proposed a conditional exemption which would allow [...]
ALERT: Phishing attack posing as FINRA survey
ALERT: Phishing attack posing as FINRA survey WHAT HAPPENED? The Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) was recently made aware of [...]
Does your firm include text messages in its recordkeeping?
Does your firm include text messages in its recordkeeping? WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission released information about proceedings against a California broker-dealer, which failed to [...]
CCO faces $45,000 fine after falsifying documentation
CCO faces $45,000 fine after falsifying documentation WHAT HAPPENED? Recently, a dually registered investment adviser and broker-dealer, and its former Chief Compliance Officer, were charged and fined by the [...]
The SEC’s 9 recommendations for avoiding “credential stuffing” attacks
The SEC’s 9 recommendations for avoiding “credential stuffing” attacks WHAT HAPPENED? Earlier this month, the Office of Compliance Inspections and Examinations of the United States Securities and Exchange Commission [...]