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.
Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
On September 14, the Private Fund Adviser Rules were published in the Federal Register. According to the Federal Register, the rules are effective Nov. 13, 2023, and comments regarding the collection of information requirements within the meaning of the Paperwork Reduction Act of 1995 should be received on or before October 16, 2023.