Compliance Guidance for Today's Regulatory Demands
Clear Direction for Firms Managing Complex Compliance Requirements
Compliance Support Built Around Your Firm
Every financial firm has its own regulatory obligations and compliance considerations. Fairmont Compliance works with clients to understand those requirements and provide support where it is needed.
We assist:
Registered Investment Advisers (RIAs)
Exempt Reporting Advisers (ERAs)
Broker-Dealers
Private Fund Managers
Municipal Advisors
Other regulated financial firms
Our work can include regulatory filings, compliance documentation, annual reviews, risk assessments, testing, and preparation for regulatory examinations.
Areas We Cover
Fairmont Compliance provides assistance with the following compliance matters:
• Registration and Regulatory Filings
• Compliance Policies and Procedures
• Code of Ethics
• Personal Trading Reviews
• Risk Assessment
• Updates Regarding Regulatory Changes
• Annual Compliance Review
• Documentation of Compliance Reviews
• Testing of Compliance Policies and Procedures
These services can be used individually or as part of broader ongoing compliance support, depending on the firm's needs.
A Clearer Way to Manage Compliance
Practical Guidance. Direct Communication. Ongoing Support.
Fairmont Compliance takes a straightforward approach to compliance consulting. We review the firm's requirements, identify the areas that need attention, and provide recommendations that are clear and understandable.
Customized Support
Compliance needs vary from firm to firm. Our services can be adapted to the regulatory requirements and circumstances of each client.
Regulatory Awareness
We keep regulatory developments in view and provide updates regarding changes that may affect a firm's compliance responsibilities.
Detailed Reviews
From annual compliance reviews to policy testing and risk assessments, we help firms document and address important compliance matters.
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