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Go beyond compliance consulting and partner with Fairview®.

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We help you maintain a meaningful and fully documented compliance program.

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What We Do

We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.

Dedicated Compliance Team

We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.

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Our services don’t stop at consulting.

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Breaking News

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OUR CLIENTS KNOW

We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.

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Assets Under Compliance

Administration

Leadership Team

Frank Watson

Frank Watson

President

Ellen Harvin

Ellen Harvin

Vice President

John Marriott

John Marriott

Vice President

An Expert Team Makes All The Difference.

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Latest Flash Reports

Our industry is consistently changing, and we want to keep you up to date with how it affects you.

OCIE Releases Risk-Based Examination Initiatives

By |Nov 14th, 2018|

OCIE Releases Risk-Based Examination Initiatives WHAT HAPPENED? On November 8th, 2018, the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE), released its series of examination [...]

SEC Releases Report on FY 2018 Results

By |Nov 6th, 2018|

SEC Releases Report on FY 2018 Results WHAT HAPPENED? On November 2nd, 2018, the Securities and Exchange Commission’s (SEC) Enforcement Division released an annual report summarizing its ongoing initiatives [...]

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