Compliance Administration

Compliance Administration

Enhance your adviser compliance program.

Get full-service support from our team of SEC regulatory and compliance experts.

At Fairview, we do things differently. We understand that creating and maintaining a strong SEC compliance program requires a lot of work and ongoing attention. That’s why we deploy technology and a team of SEC regulatory experts to build and maintain comprehensive, tailored compliance programs.

Whether you’re looking for support with your existing adviser compliance program, assistance developing the infrastructure for a new compliance program, or general CCO support in administering your firm’s compliance program, we can help. Our proprietary technology solutions allow us to implement scalable solutions, customized to our clients’ unique needs.

We also help CCOs and investment advisers prepare for SEC exams and provide hands-on support throughout the entire exam process.

Our clients benefit from:

  • Real-time records
  • Continuous monitoring and testing
  • Detection and resolution of exceptions
  • Best practices

Our Services

We provide a full range of adviser compliance administration services, including:

  • Registration with SEC
  • Maintenance of policies and procedures
  • Filing and amendments to Form ADV, including disclosure supplements
  • Conducting compliance program risk assessment
  • Integration of SEC regulatory changes and guidance
  • Ongoing testing of compliance policies and procedures
  • Monitoring and reporting for code of ethics and personal trading
  • Marketing and advertising review
  • Coordination of other regulatory filings (e.g., Form D, Section 13 filings, Form PF)
  • Documentation of compliance reviews, including the Annual Review
  • Recordkeeping
  • Providing hands-on support during SEC exams

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