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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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.
IARD Annual Renewal Dates
IARD Annual Renewal Dates WHAT IS COMING UP SOON? Every year at this time, FINRA will post its Renewal Statements in the IARD Portal. These fees are collected for [...]
SEC Proposes Changes to Advertising and Solicitation Rules
SEC Proposes Changes to Advertising and Solicitation Rules WHAT HAPPENED? On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation [...]
SEC Adopts Rule Modernizing ETF Regulations
SEC Adopts Rule Modernizing ETF Regulations WHAT HAPPENED? On Sept. 26, 2019, the Securities and Exchange Commission voted to adopt Rule 6c-11. The goal of the rule is to [...]
Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company
Pair of Advisers Fined for Failing to Disclose Interest in Publicly Traded Company WHAT HAPPENED? On Sept. 24, 2019, the Securities and Exchange Commission released information that a registered investment adviser, Strategic [...]
Company Charged with Violating Regulation ATS After Releasing Confidential Information
Company Charged with Violating Regulation ATS After Releasing Confidential Information WHAT HAPPENED? On Sept. 24, 2019, the Securities and Exchange Commission released information that TMC Bonds LLC, operator of [...]
OCIE Releases List of Common Principal and Agency Cross Trading Compliance Issues
OCIE Releases List of Common Principal and Agency Cross Trading Compliance Issues WHAT HAPPENED? On Sept. 4, 2019, the Office of Compliance Inspections and Examinations of the Securities and [...]