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.
SEC Comments on Emerging ESG Compliance Concerns
SEC Comments on Emerging ESG Compliance Concerns WHAT HAPPENED? In recent months, the Securities and Exchange Commission has increased its focus on socially responsible “environmental, social, and governance” funds, [...]
SEC Provides FAQs for Regulation Best Interest
SEC Provides FAQs for Regulation Best Interest WHAT HAPPENED? In preparation for the adoption of Regulation Best Interest (Reg BI), the Securities and Exchange Commission recently released a set [...]
OCIE Releases 2020 Examination Priorities
OCIE Releases 2020 Examination Priorities WHAT HAPPENED? On Jan. 7, 2020, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (OCIE) released its 2020 Examination [...]
Proposed Changes to Accredited Investor Definition
Proposed Changes to Accredited Investor Definition WHAT HAPPENED? Recently, the Securities and Exchange Commission proposed changes to the definition of an “accredited investor.” Until this point, the accredited investor [...]
Kansas Adviser Ordered to Pay Over $8.5M After Breaching Fiduciary Duty
Kansas Adviser Ordered to Pay Over $8.5M After Breaching Fiduciary Duty WHAT HAPPENED? On Dec. 10, 2019, the Securities and Exchange Commission released information that an adviser, Kornitzer Capital [...]
By the Numbers: SEC Division of Enforcement Publishes FY2019 Report
By the Numbers: SEC Division of Enforcement Publishes FY2019 Report WHAT HAPPENED? Recently, the Division of Enforcement of the Securities and Exchange Commission released their annual report which includes [...]