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.
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Our services don’t stop at consulting.
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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.
Exam Takeaways: SEC and DOL Joint Exams
Exam Takeaways: SEC and DOL Joint Exams WHAT HAPPENED? Regulatory requirements and expectations for firms are constantly evolving; with that, examination practices are changing as well. An emerging approach [...]
SEC Requirement: Annual Amendment for Form ADV
SEC Requirement: Annual Amendment for Form ADV WHAT HAPPENED? The SEC requires that investment advisers file a Form ADV Annual Amendment within 90 days of the end of the [...]
What Does OCIE Look for When Examining Cybersecurity Practices?
What Does OCIE Look for When Examining Cybersecurity Practices? WHAT HAPPENED? In recent years, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission made [...]
SEC Comments on Emerging ESG Compliance Concerns
SEC Comments on Emerging ESG Compliance Concerns WHAT HAPPENED? In recent months, the Securities and Exchange Commission has increased its focus on socially responsible “environmental, social, and governance” funds, [...]
SEC Provides FAQs for Regulation Best Interest
SEC Provides FAQs for Regulation Best Interest WHAT HAPPENED? In preparation for the adoption of Regulation Best Interest (Reg BI), the Securities and Exchange Commission recently released a set [...]
OCIE Releases 2020 Examination Priorities
OCIE Releases 2020 Examination Priorities WHAT HAPPENED? On Jan. 7, 2020, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (OCIE) released its 2020 Examination [...]