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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.
SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles
SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles WHAT HAPPENED? In response to the unusual state of global securities infrastructures stemming from COVID-19, the SEC is continuing [...]
SEC Exams Now Focusing on Firms’ Pandemic Plans
SEC Exams to Focus on Firms’ Pandemic Plans WHAT HAPPENED? Despite the sweeping effects of COVID-19, the SEC is continuing enforcement efforts and is still initiating examinations. In response [...]
COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation
A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation ***UPDATE*** On March 23 and 25, 2020, the SEC released further extended dates for the items listed [...]
COVID-19 UPDATE: How the SEC Continues Its Response Efforts
COVID-19 UPDATE: How the SEC Continues Its Response Efforts WHAT HAPPENED? As efforts to contain the COVID-19 virus expand worldwide, the SEC is remaining focused on maintaining a fair [...]
COVID-19: What Financial Regulatory Bodies Are Saying
COVID-19: What Financial Regulatory Bodies Are Saying WHAT HAPPENED? On March 11, 2020, the World Health Organization (WHO) declared COVID-19 is now classified as a pandemic. Between WHO, the [...]
How to Plan for a Pandemic
How to Plan for a Pandemic WHAT HAPPENED? Health officials worldwide are monitoring a respiratory illness outbreak caused by a new coronavirus named COVID-19. Fairview has a plan for [...]