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.
Private fund adviser ordered to pay over $1 million after violating partnership agreement
Private fund adviser ordered to pay over $1 million after violating partnership agreement WHAT HAPPENED? Recently, the United States Securities and Exchange Commission sanctioned a registered investment adviser for [...]
OCIE Risk Alert: common compliance program issues
OCIE Risk Alert: common compliance program issues WHAT HAPPENED? On Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) released [...]
Avoid the risk of using common passwords– make your accounts more secure today
Avoid the risk of using common passwords– make your accounts more secure today WHAT HAPPENS IF I USE COMMON PASSWORDS? Your accounts could be vulnerable to a variety of [...]
OCIE examiners report common branch office compliance deficiencies
OCIE examiners report common branch office compliance deficiencies WHAT HAPPENED? On Nov. 9, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) [...]
New Investment Company Act rule updates regulatory requirements for fund of funds arrangements
New Investment Company Act rule updates regulatory requirements for fund of funds arrangements WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission adopted a new rule and related amendments [...]
IARD Annual Renewal Dates
IARD Annual Renewal Dates WHAT IS COMING UP SOON? Every year at this time, FINRA will post its Renewal Statements in the IARD Portal. These fees are collected for [...]