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What We Do

We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.

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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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Leadership Team

Frank Watson

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Ellen Harvin

Executive Vice President

John Marriott

Executive Vice President

An Expert Team Makes All The Difference.

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Latest Flash Reports

Our industry is consistently changing and we want to keep you up to date with how it affects you.

Firm Misused MNPI, Ordered to Pay $1 Million

By Fairview®| 2020-06-04T01:06:28+05:00 Jun 4th, 2020|

Firm Misused MNPI, Ordered to Pay $1 Million WHAT HAPPENED? On May 26, 2020, the United States Securities and Exchange Commission released documentation detailing an enforcement action against a [...]

Adviser Fined $60,000 for Custody Rule Violation

By Fairview®| 2020-05-27T23:53:38+05:00 May 27th, 2020|

Adviser Fined $60,000 for Custody Rule Violation WHAT HAPPENED? On May 22, 2020, the United States Securities and Exchange Commission published information on an enforcement action against a registered [...]

Six Ways to Help Protect Your Firm from a Cybersecurity Breach

By Fairview®| 2020-05-19T21:21:19+05:00 May 19th, 2020|

Six Ways to Help Protect Your Firm from a Cybersecurity Breach WHAT HAPPENED? As the COVID-19 pandemic has changed how most industries are conducting business, one of the biggest [...]

UPDATE: SEC Provides Guidance on Advisory Firms Accepting PPP Loans

By Fairview®| 2020-05-13T02:28:36+05:00 May 13th, 2020|

UPDATE: SEC Provides Guidance on Advisory Firms Accepting PPP Loans WHAT'S GOING ON? Many investment advisers have applied for or accepted a Paycheck Protection Program (“PPP”) loan for their [...]

SEC Proposes Rule to Modernize Fund Valuation Practices

By Fairview®| 2020-05-05T02:45:34+05:00 May 5th, 2020|

SEC Proposes Rule to Modernize Fund Valuation Practices WHAT HAPPENED? Last month, the United States Securities and Exchange Commission released a proposed rule, Rule 2a-5, which would modernize valuation [...]