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.
Breaking News
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.
The SEC’s Latest Exam and Request List Trends
The SEC’s Latest Exam and Request List Trends WHAT HAPPENED? With new SEC leadership in place, including Chairman Gary Gensler and Director of Enforcement Gurbir Grewal, the Commission’s examination [...]
SEC Cybersecurity Sweep Exams? Here is what you need to know.
SEC Cybersecurity Sweep Exams? Here is what you need to know. WHAT HAPPENED? Recently, there has been an increase in SEC Exam requests related to cybersecurity. Although the SEC [...]
SEC Appoints New Director of Enforcement, Gurbir S. Grewal
SEC Appoints New Director of Enforcement, Gurbir S. Grewal WHAT HAPPENED? On June 29, 2021, the SEC issued a press release announcing the appointment of New Jersey Attorney General, [...]
Inaccurate Performance Information Leads to SEC Charges
Inaccurate Performance Information Leads to SEC Charges WHAT HAPPENED? The SEC recently settled with a registered investment adviser that posted false statements and misleading performance data on its public [...]
5 Proposed Rules from the SEC That Could Affect Your Firm
5 Proposed Rules from the SEC That Could Affect Your Firm WHAT HAPPENED? The SEC released its latest regulatory agenda, which outlines the commission’s pending rules and regulations. Under [...]
ESG Disclosure and Materiality Reminders for RIAs
ESG Disclosure and Materiality Reminders for RIAs WHAT HAPPENED? Climate and environmental, social, and governance (ESG) topics continue to gain prevalence in capital markets, especially when it comes to [...]