Matthew Hardin, President & CEO, David Rishel, Partner and Chief Operating Officer, and Jaqueline Hummel, Partner and Managing Director, will be attending the 2020 IAA Investment Adviser Compliance Conference…

Here the remaining top 5 hits from our investment adviser regulatory review. (Check out Part 1 here.) The SEC remains concerned about information security, including cyber-related risks, and 2020 is…

Based on regulatory developments from 2019, here are our suggestions for updates to your RIA compliance program for 2020. The SEC’s top regulatory initiatives in 2019 defined the standard of…

In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7.  As…

  Check out recent contributions by Hardin’s own to the November 2019 issue of the National Society of Compliance Professionals’ (NSCP) Currents newsletter: “Top 10 Reasons to Hire an RIA…

In 2019, broker-dealers did not have to contend with many significant new rules or amendments, but there was still plenty of regulatory activity.  Here is a high-level summary of notable…

Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers.  This list is not intended to be exhaustive, but it should help compliance officers set up their regulatory calendars…

Hardin Compliance Consulting compiled a list of regulatory deadlines for U.S. registered investment advisers, including advisers to private and U.S. registered mutual funds and those also registered as a CPO…

The Massachusetts Securities Division (“MSD”) is moving ahead with its proposed uniform fiduciary standard of conduct for both broker-dealers and investment advisers (“MA Rule”, or “Fiduciary Conduct Standard”).  Secretary of…

In this installment of Hardin’s “Devil is in the Details” series on state blue sky filings for private fund managers, we dig into common exemptions from blue sky filing requirements. …