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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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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 and CEO

Ellen Harvin

Ellen Harvin

Executive Vice President

John Marriott

John Marriott

Executive 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 Warns of Cloud-Based Server Security Risks

By | May 29th, 2019|

OCIE Warns of Cloud-Based Server Security Risks WHAT HAPPENED? Last week, the Office of Compliance Inspections and Examinations (OCIE) discovered several security risks related to the storage of customer information by [...]

Form CRS: What You Should Know

By | May 21st, 2019|

Form CRS: What You Should Know WHAT HAPPENED? In April 2018, the SEC released a proposed rule which would require investment advisers to provide a relationship summary to prospective [...]

FINRA Cites Unreasonable Email Review

By | May 7th, 2019|

FINRA Cites "Unreasonable" Email Review - Firm Fined, Censured WHAT HAPPENED? On April 12, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued a settlement with a Salt Lake City-based [...]

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