Looking for full-service compliance administration?

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Fairview’s Compliance Administration practice provides Chief Compliance Officers and Registered Investment Advisers with full-service support, including day-to-day operations and maintenance of RIA compliance programs so that required records, filings, testing and documentation are current and readily available.

For 25 years, Fairview has provided clients with innovative, streamlined back-office operations, created by experts in SEC compliance and regulations. We do the work and provide you with solid compliance operations, so that you can spend more time focusing on managing client relationships.

Our Compliance Administration services include:

Registration and filings
Maintenance of policies and procedures, including cybersecurity policies and procedures
Code of ethics / Personal trading
Risk assessment
Integration of regulatory changes
Testing of policies and procedures
Review of trading processes

AML screening
Regulatory filings
Marketing and advertising review and tracking
Logging recordkeeping
Annual Review
Documentation of compliance review

Process Workflow

Our standard process includes the following steps:

For new registrants, register the firm with the SEC

Review or create compliance manual and procedures
Assess and assign risk
Arrange access to adviser systems, as applicable
Establish a testing schedule through the Fairview compliance system

Perform tests on compliance manual policies and procedures
Assist with creating and maintaining required books and records
Conduct reviews and report findings
Document the annual compliance review
Update disclosures, policies, and procedures based on: business changes, testing results, and regulatory issues

Want to learn more? Contact us today and someone from our team will be in touch.

Fairview has been providing streamlined solutions to providers in the financial services industry since 2005. We are part of ViewPoint Partners, our employee-owned parent company for both Fairview and FilePoint, which provides regulatory reporting solutions for registered investment companies.