Go beyond compliance consulting and partner with Fairview®.
We help you maintain a meaningful and fully documented compliance program.
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
President and CEO
Ellen Harvin
Executive Vice President
John Marriott
Executive Vice President
An Expert Team Makes All The Difference.
Latest Flash Reports
Our industry is consistently changing and we want to keep you up to date with how it affects you.
Risk Alerts From OCIE: Form CRS and Reg BI
Risk Alerts From OCIE: Form CRS and Reg BI WHAT HAPPENED? On April 7, 2020, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and [...]
SEC Updates Custody Rule FAQs to Address COVID-19 Concerns
SEC Updates Custody Rule FAQs to Address COVID-19 Concerns WHAT HAPPENED? As effects of the COVID-19 pandemic continue to impact global securities markets, regulatory bodies are taking steps to [...]
Important Upcoming Deadlines for SEC Registered Investment Advisers
Important Upcoming Deadlines for SEC Registered Investment Advisers WHAT IS HAPPENING? There are several key deadlines for SEC registered investment advisers in the coming weeks, including form distribution and [...]
How to Prepare for Form CRS
How to Prepare for Form CRS Recently, Amber Allen, Vice President and General Counsel, and Nick Byrne, Relationship Manager, of Fairview offered their knowledge of Form CRS to help advisers [...]
SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles
SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles WHAT HAPPENED? In response to the unusual state of global securities infrastructures stemming from COVID-19, the SEC is continuing [...]
SEC Exams Now Focusing on Firms’ Pandemic Plans
SEC Exams to Focus on Firms’ Pandemic Plans WHAT HAPPENED? Despite the sweeping effects of COVID-19, the SEC is continuing enforcement efforts and is still initiating examinations. In response [...]