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 February 18, the SEC issued an extension of the compliance dates for Form N-PORT reporting related to the “Names Rule,” proposed new amendments to Form N-PORT reporting, and published new questions and answers on the Names Rule FAQ.
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FINRA is enhancing security on the FINRA Entitlement Platform by introducing identity verification through ID.me, which is certified to federal standards for identity verification.
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Large financial institutions, such as intermediaries and wrap sponsors, are increasingly asking advisers to provide documents with higher-level accessibility conformance on institutional platforms.
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