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 September 14, the Private Fund Adviser Rules were published in the Federal Register. Given […]
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Cybersecurity is already topping the list as one of the greatest risks to businesses. 2024 will be no different—in fact, by the end of the coming year, the cost of cyber-attacks on the global economy is predicted to top 10.5 trillion. In addition to existing threats, artificial intelligence (AI) will continue to grow and evolve in the coming year, and businesses need to be prepared.
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Artificial intelligence (“AI”) sweep exams may be on the horizon for 2024. An examination document reviewed by Ignites stated that the SEC asked at least one firm to provide information regarding its AI policies and procedures.
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