Fairview® will support the operations of your compliance program so that required records, filings, screenings, client set-up and reporting are current and readily available. Fairview® has the capability to design and execute your compliance infrastructure and executing an existing compliance program. Fairview® makes sure that internal controls are built into your operations processes, making compliance features inherent to the culture of your firm.
With Fairview®, you can count on innovative, streamlined back office operations and technology to help support your compliance program. With our solutions, it is possible to grow your assets under management without investing in additional operational infrastructure.
We do compliance differently. We are your compliance partner, not a compliance consultant. We offer an ongoing, client-based solution.
We do the work.
Fairview® performs compliance tasks and processes for its clients, transforming your compliance manual into a set of compliance operations which captures testing, recordkeeping, and reports.
Real-time records
Continuous monitoring and testing
Detection and resolution of exceptions
Best practices
Preparation for inspection or due diligence
Turn-key Setup & Execution – Customized to Your Firm.
Our Compliance 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