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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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Advisers
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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.

The SEC Suits Up for Suitable Recommendations

By | Sep 20th, 2021|

The SEC Suits Up for Suitable Recommendations WHAT HAPPENED? The SEC has recently started cracking down on investment advisers improperly recommending complex financial products. In a recent case, the SEC found [...]

ALERT: Phishing Attack Posing as FINRA Request

By | Sep 8th, 2021|

ALERT: Phishing Attack Posing as FINRA Request WHAT HAPPENED? Broker-dealers, investment advisers, and investment companies could be affected by a new phishing campaign. This is similar to the FINRA survey phishing campaign [...]

More Flash Reports