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 Releases Report on FY 2018 Results
SEC Releases Report on FY 2018 Results WHAT HAPPENED? On November 2nd, 2018, the Securities and Exchange Commission’s (SEC) Enforcement Division released an annual report summarizing its ongoing initiatives [...]
Registration Renewal Statements to be posted by Early November
Registration Renewal Statements to be posted by Early November WHAT HAPPENED? Preliminary IARD annual renewal statements will be available through e-bill beginning on Monday, November 12, 2018. Preliminary statement [...]
Department of Labor Considering New Fiduciary Rule
Department of Labor Considering New Fiduciary Rule WHAT HAPPENED? Seven months after the Fifth Circuit Court of Appeals ruled to eradicate the Department of Labor (DOL) Fiduciary Rule, a [...]
SEC Charges Adviser for Lacking Cybersecurity Procedures
SEC Charges Adviser for Lacking Cybersecurity Procedures WHAT HAPPENED? On September 26th, 2018, the Securities and Exchange Commission (SEC) announced its charges against a broker-dealer and registered investment adviser [...]
SEC Charges Adviser for Failures to Disclose Conflicts of Interest
SEC Charges Adviser for Failures to Disclose Conflicts of Interest WHAT HAPPENED? On September 13th, 2018, the Securities and Exchange Commission (SEC) released its charges against a Registered Investment [...]
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 [...]