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We provide compliance support services to investment advisers,
broker-dealers and other financial institutions.
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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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.
Compliance Date Approaching for Fund of Funds Arrangements Under The Investment Company Act of 1940, as Amended
Compliance Date Approaching for Fund of Funds Arrangements Under The Investment Company Act of 1940, as Amended WHAT HAPPENED? Last year the U.S. Securities and Exchange Commission adopted a new rule and [...]
Phasing Out LIBOR
Phasing Out LIBOR WHAT HAPPENED? First, what is LIBOR? The London Interbank Offered Rate ("LIBOR") is the average interest rate by which major global banks borrow from one another. LIBOR rates [...]
The New Marketing Rule: RETIRING NO-ACTION LETTERS
The New Marketing Rule: RETIRING NO-ACTION LETTERS WHAT HAPPENED? When the SEC adopted the Marketing Rule, it rescinded the Cash Solicitation Rule as of the Marketing Rule’s compliance date and stated that [...]
SEC Focuses on Advisory Fee Calculation: What You Need to Know
SEC Focuses on Advisory Fee Calculation: What You Need to Know WHAT HAPPENED? During recent regulatory exams, the SEC detected several issues with investment advisers’ fee calculations. The SEC wants [...]
Advisers to Private Funds: Going from Exemption Reporting Adviser (ERA) to Fully Registered Adviser
Advisers to Private Funds: Going from Exemption Reporting Adviser (ERA) to Fully Registered Adviser. Fairview partners with firms to get registered and provide on-going compliance support. WHAT IS GOING ON? Many exempt [...]
New Enforcement Date for DOL Rollover Recommendations: Documenting and Meeting the DOL’s Prohibited Transaction Exemption
New Enforcement Date for DOL Rollover Recommendations: Documenting and Meeting the DOL’s Prohibited Transaction Exemption WHAT HAPPENED? The recent Department of Labor Field Assistance Bulletin 2021-02 provides that from December 21, 2021, [...]