We provide everything from registration of individuals and entities up to and including fully outsourced Chief Compliance Officer (CCO) engagements for both investment advisers and broker dealers.
We offer full service engagements as well as limited consulting projects. Hardin utilizes its collective experience to develop customized compliance solutions that meet the individual compliance needs of our clients.
- Investment Adviser Registration (SEC and State)
- Form ADV Part 1 and 2 Filings
- Broker Dealer Registration (FINRA and State)
- Form BD Filing
- Dual Registrants
- Compliance Manual (Policies and Procedures)
- GAP Analysis
- Annual Review of Compliance Program
- Anti-money Laundering Audit
- Mock Regulatory Exams
- Regulatory Exam Support (FINRA, SEC, state regulators)
- Risk Assessment
- Compliance Training
- Code of Ethics
- Advertising/Marketing Review
- Business Continuity Plan
- Fiduciary Assessment (CEFEX®)
- Licensing and registration for firms, investment adviser representatives and registered representatives
- Prepare regulatory filings (SEC, FINRA, MSRB, CFTC and state regulatory authorities)
Choose a compliance solution that fits your needs.
Basic Compliance Support
Basic service is designed for the CCO that needs resources to manage the firm’s compliance program, including ongoing consulting, a compliance testing calendar and regulatory updates. This service includes unrestricted access to experienced compliance professionals for advice on how to best implement your customized compliance program. Your firm will be assigned a team of compliance professionals that will provide technical compliance expertise, insight into industry best practices and the latest views from regulators.
Signature Compliance Support
Signature service is designed to allow your firm to concentrate on what it does best by reducing your compliance burden. Hardin will assign a team of professionals that will work with your CCO to manage the firm’s compliance program. In addition to the Basic services above, Hardin will conduct all required testing and monitoring, therefore reducing your firm’s need for internal compliance staff. This service includes unrestricted access to experienced compliance professionals.
Executive Compliance Support
Executive service provides your firm with an independent and fully outsourced Chief Compliance Officer. A senior compliance professional from Hardin will become the CCO for your firm and will assume the full risk and responsibility of the position. The CCO and Hardin’s team of experienced compliance professionals will work with your senior management to administer the firm’s compliance program and conduct all required compliance testing and monitoring.