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.

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