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.
Find the right Compliance Partner
Our services don’t stop at consulting.
Breaking News
Stay up to date on what is going in the financial compliance industry.
Leadership Team
Frank Watson
President
Ellen Harvin
Vice President
John Marriott
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.
SEC Charges Broker with “Cherry-Picking”
SEC Charges Broker with “Cherry-Picking” WHAT HAPPENED? On Wednesday, September 12th, the Securities and Exchange Commission (SEC) charged a broker with allegedly misusing client account information to allocate gainful [...]
Citigroup Agrees to Pay $10.5 Million for Violating Books and Records Rule and Inadequate Internal Controls
Citigroup Agrees to Pay $10.5 Million for Violating Books and Records Rule and Inadequate Internal Controls WHAT HAPPENED? On August 16th, 2018, the Securities and Exchange Commission (SEC) released [...]
RIA Settles SEC Charges for Violations of Advisers Act and Custody Rule
RIA Settles SEC Charges for Violations of Advisers Act and Custody Rule WHAT HAPPENED? On July 17th, 2017, the Securities and Exchange Commission (SEC) released its final charges against [...]
SEC Charges Investment Adviser for Misleading Retail Investors
SEC Charges Investment Adviser for Misleading Retail Investors WHAT HAPPENED? On July 18th, 2018, the Securities and Exchange Commission (SEC) charged a registered investment adviser and its chief executive [...]
Three Investment Advisers Settle with SEC on Campaign Contribution Charges
Three Investment Advisers Settle with SEC on Campaign Contribution Charges WHAT HAPPENED? On July 10th, 2018, the Securities and Exchange Commission (SEC) released its charges against three separate investment [...]
SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule
SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule WHAT HAPPENED? On July 10th, 2018, the Securities and Exchange Commission (SEC) settled proceedings against two registered investment advisers, [...]