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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OUR CLIENTS KNOW
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.
How to Identify and Avoid Vishing and Smishing Attacks
How to Identify and Avoid Vishing and Smishing Attacks WHAT HAPPENED? You likely have heard of phishing attacks, a type of social engineering scheme that tricks victims into clicking [...]
Are your firm’s electronic records secure by SEC standards?
Are your firm’s electronic records secure by SEC standards? WHAT HAPPENED? In recent years, the United States Securities and Exchange Commission has heightened its emphasis on cybersecurity requirements for [...]
Updated Accredited Investor Definition Expands Investor Access to Private Offerings
Updated Accredited Investor Definition Expands Investor Access to Private Offerings WHAT HAPPENED? On Aug. 26, 2020, the United States Securities and Exchange Commission updated the “accredited investor” definition in [...]
5 Ways to Strengthen Your Firm’s Vendor Management Program
5 Ways to Strengthen Your Firm’s Vendor Management Program WHAT HAPPENED? Vendor management is a critical piece of creating a comprehensive information security strategy for firms. Vendors processing or [...]
Newly Identified Compliance Risks Due to COVID-19: What You Should Know
Newly Identified Compliance Risks Due to COVID-19: What You Should Know WHAT HAPPENED? Last week, the Office of Compliance Inspections and Examinations of the United States Securities and Exchange [...]
Open-End Funds: Proposed Amendments to Reporting and Disclosure Requirements
Open-End Funds: Proposed Amendments to Reporting and Disclosure Requirements WHAT HAPPENED? On Aug. 5, 2020, the United States Securities and Exchange Commission proposed a new set of amendments to [...]