Ellen Harvin joined Fairview in 2005. Today, her primary focus is leading Fairview Compliance Administration, which provides compliance services to more than 160 advisers and other financial firms, exceeding $370 billion in collective assets. In this capacity, she oversees the delivery of premium service to a wide range of clients including launching and maintaining compliance programs, conducting compliance training, monitoring, and testing policies and procedures, and coordinating client responses to SEC regulatory exams.
Ellen has worked in financial services since 2004. Prior to that, she worked as a vice president in account management at a full-service marketing and advertising firm, where she developed her expertise in account management that laid the foundation to build the client service model that Fairview still uses today.
What happened? This year, Securities and Exchange Commission (SEC) Exams will remain focused on the […]
Read MoreOn March 6, 2024, the Securities and Exchange Commission (SEC) adopted final climate disclosure rules for public companies and in public offerings, according to the SEC’s Press Release.
Read MoreLast week, the National Institute of Standards and Technology (NIST) released version 2.0 of its widely used Cybersecurity Framework (CSF), its landmark guidance document for reducing cybersecurity risk. This is the first major update since the framework was initially launched in 2014 to help organizations understand, mitigate, and communicate cybersecurity-related risks.
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