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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Leadership Team
Frank Watson
President
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.
OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues
OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues WHAT HAPPENED? On April 16, 2019, the Office of Compliance Inspections and Examinations (“OCIE”) published a list of compliance issues [...]
SEC Officials Comment on Evloving Proxy Voting Process
SEC Officials Comment on Evloving Proxy Voting Process WHAT HAPPENED? In remarks during the ICI Mutual Funds and Investment Management Conference, SEC Commissioner, Elad Roisman, and Director of the Division of [...]
Reminder: Annual Brochure Delivery Obligation
Reminder: Annual Brochure Delivery Obligation WHAT HAPPENED? Reminder: for Advisers with fiscal year-end Dec. 31, the annual brochure delivery deadline is approaching on April 30. The Adviser Act regulation (Section 275.204-3) [...]
IARD and PFRD Systems Inaccessible 3 Weekends in April
IARD and PFRD Systems Inaccessible 3 Weekends in April WHAT HAPPENED? The SEC announced that the IARD and PFRD systems will be unavailable during three weekends in April, plus [...]
BB&T Subsidiary Must Pay $5.7 Million After Policy Violations
BB&T Subsidiary Must Pay $5.7 Million After Policy Violations WHAT HAPPENED? On March 5, 2019, the U.S. Securities and Exchange Commission ordered BB&T Securities to pay $5.7 million following [...]
SEC Requirement: Annual Amendment for Form ADV
SEC Requirement: Annual Amendment for Form ADV WHAT HAPPENED? The SEC requires that investment advisers file a Form ADV Annual Amendment within 90 days of the end of the adviser’s [...]