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.
The longest government shutdown in U.S. History officially ended on November 12th. Government employees are back at work, and the SEC has reopened. However, it may take time for the SEC to return to normal operations.
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Despite the government shutdown, IARD renewal deadlines are live, and renewal payments are still due.
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On September 26, 2025, Chairman Paul Atkins announced a change in how the SEC evaluates settlement offers in enforcement actions that are accompanied by contemporaneous requests for SEC waivers from automatic disqualifications and other collateral consequences from the underlying enforcement action.
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