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Regulatory Compliance Consulting at its Finest!
To our clients, compliance colleagues, and friends, Hardin Compliance Consulting is pleased to announce that it has joined Foreside Financial Group, one of the nation’s premier regulatory compliance consulting…
Exempt Reporting Advisers
Advisers relying on the Private Fund Adviser¹ or the Venture Capital Fund Adviser Exemption² (“ERA”), are exempt from registration but remain subject to certain reporting and compliance obligations. Exempt…
Advertising and Marketing Regulation | Cash Solicitation Rule | Investment Advisers | Private Funds |
The New Marketing Rule and the Seven Prohibitions: Sneaky, Sloppy, Tricky, Shifty, Iffy, Flimsy, and Dicey
Analyzing the SEC’s new Marketing Rule (Rule 206(4)-1, or the “New Rule”) is a monumental task, so I am breaking it down into a series of six blog posts. This…
Blue Sky Filings | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings
The Devil is in the Details Part 9: Blue Sky Filings – New York State Rule Changes
On December 1, 2020, New York Attorney General Letitia James announced updates to the New York state securities laws. Among them are changes to the state’s blue sky filings requirements,…
Hardin Proudly Promotes Patricia Kulhan!
Hardin is excited to announce the promotion of Trish Kulhan to Compliance Consultant! Trish has been with Hardin since 2014 and has more than 19 years of industry experience. As…
We are Excited to Introduce Hardin’s Newest Team Members:
Over the past year, Hardin’s compliance consulting team has expanded in experience, knowledge, and numbers! Our team now consists of former regulatory and in-house securities attorneys, state examiners, senior compliance…
Hardin Offers Regulation A Filing Services
Regulation A is an exemption from registration for public offerings. There are two options available, each with its own distinct (but some similar) requirements, referred to as Tier 1 and…
Annual Compliance Program Review | Hardin News
Practical Thought Leadership – Top 10 Tips for Updating Your Compliance Program in 2021
Originally published on Hardin’s Compliance Informer blog, Hardin is pleased to share this recent reprint featured in the National Society of Compliance Professionals (NSCP) Currents: Top 10 Tips for Updating Your…
Hardin News | Hardin Press Releases |
Hardin’s Own Awarded JD Supra Readers’ Choice Top Authors 2021!
Cari Hopfensperger, Senior Compliance Consultant, Jaqueline Hummel, Partner and Managing Director, and have been recognized by JD Supra as among the top ten authors writing on compliance issues in 2020. They…
Hardin Teams-Up with Bressler to Discuss Senior Investor Issues
Senior Investor Webinar: Special Guest, Kristen Standifer of the Washington Securities Division and Vice-Chair of NASAA’s Committee on Senior Issues & Diminished Capacity, joins Bressler and Hardin to discuss this important topic. …