Fairview® Compliance Administration 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.
With Fairview, you benefit from 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
