Ellen Harvin joined Fairview in 2005. Today, her primary focus is leading Fairview Compliance Administration, which provides compliance services to more than 160 advisers and other financial firms, exceeding $370 billion in collective assets. In this capacity, she oversees the delivery of premium service to a wide range of clients including launching and maintaining compliance programs, conducting compliance training, monitoring, and testing policies and procedures, and coordinating client responses to SEC regulatory exams.
Ellen has worked in financial services since 2004. Prior to that, she worked as a vice president in account management at a full-service marketing and advertising firm, where she developed her expertise in account management that laid the foundation to build the client service model that Fairview still uses today.
On October 21, 2024, the SEC’s Division of Examinations (“EXAMS”) published its 2025 Examination Priorities, which includes annual priorities viewed by EXAMS as presenting heightened risks to investors and markets overall.
Read MoreOn October 22, 2024, the SEC announced charges against four current and former public companies for “making materially misleading disclosures regarding cybersecurity risks and intrusions”, according to a SEC press release.
Read MoreOn October 21, 2024, the SEC’s Division of Examinations (“EXAMS”) published its 2025 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and this fiscal year marks the 30th anniversary of the creation of the Division of Examinations, originally established as the Office of Compliance Inspections and Examinations.
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