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

Industry News

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

Cybersecurity Requests in SEC Exams

May 30, 2023

Flash Reports

A current cyber sweep exam is underway by the Division of Examinations. The request list includes multiple items that align with proponents of the proposed cybersecurity rule

Data Breach Hits BNY Mellon Wealth Business

May 23, 2023

Flash Reports

This month, BNY Mellon’s N.A. division notified clients that one of its vendors’ systems was infiltrated, resulting in exposure of client data, including Social Security numbers, Ignites reported.

DOL Voluntarily Dismisses Appeal to Defend DOL PTE Fiduciary Guidance

May 17, 2023

Flash Reports

The Department of Labor (DOL) voluntarily dismissed its appeal of the district court decision that struck down the DOL’s fiduciary reinterpretation of fiduciary status for advisers making rollover recommendations to retirement investors.

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.

Compliance Administration

Enhance your adviser compliance program.

Our clients benefit from:

Our Services

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

Meet Our Compliance Administration Team

Ellen Harvin

Need Compliance Administration support?

919.706.4100