Fairview performs compliance tasks and processes for its clients, transforming your compliance manual into a set of compliance operations which captures testing, recordkeeping and reports on a secure, web-based platform. The process is simple: we do the work so that you don’t have to. We aren’t just a compliance consultant – we are your compliance partner.
We can also coordinate the entire start up process for your fund, including drafting your offering documents and selecting your key service providers.
Fairview offers a complete turn-key solution for SEC Registration. The Dodd-Frank Act created new regulations that may require your firm to register with the SEC in 2012. Fairview will draft and file your Form ADV Part 1 and Part 2A&B with the SEC. We will also help you create all of your compliance policies and procedures and integrate them into your organization so that you can be in compliance when your registration becomes effective.
SEC Approves Disclosure Form Changes to Provide Investors Greater Information About Their Investment Advisers The Securities and Exchange Commission today voted unanimously to adopt...
National Examination Risk Alert The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Examination Risk Alert on the use of social media by registered investment advisers.
Massachusetts Data Security Update: Beginning March 1, 2012, all companies storing personal information of Massachusetts residents with a third-party service provider must include a contractual provision in the service provider agreement that the service provider will maintain data security measures for personal information.