Broker-dealer firms that have elected to participate in FINRA’s 529 Plan Share Class Initiative must submit their confirmation of eligibility to FINRA by Friday, May 31st. Confirmation of eligibility is…

Read Part 1: The Devil is in the Details: A Primer on Form D and Blue Sky Filings for Private Fund Managers Private fund managers routinely rely on Regulation D (“Reg D”)…

Matthew S. Hardin, Esq., CEO and President of Hardin Compliance Consulting will be speaking at the Financial Markets Association at the Marriott Pompano Beach Hotel in Fort Lauderdale, Florida from…

Hardin Compliance Consulting partner and managing director, Jaqueline Hummel, has been recognized by JD Supra as one of the top five authors writing on compliance issues in 2018.  “I’m delighted…

Don’t miss IA Watch’s FREE webinar, Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs on April 16  from 2:00 p.m. to 3:00 p.m. EDT.  This webinar features…

With all the filings regulators require these days, just getting started can seem daunting.  Luckily, Hardin Compliance Consulting, LLC (HCC) is here to help!  HCC has years of experience in…

Sarah (LeDonne) D’Amico, Managing Director and Cari Hopfensperger, Senior Compliance Consultant will be attending the Charles Schwab 2019 Compliance Solutions National Conference at The Peabody in Memphis, Tennessee from Wednesday,…

After last year’s material amendments to the Form ADV, investment advisers can breathe a sigh of relief; the SEC made no changes to the form this year.  That said, completing…

Many chief compliance officers struggle every year with preparing the annual review and, based on the OCIE’s summary of the most frequently identified exam deficiencies; some are not up to…

Drafting the annual review of your investment adviser compliance program takes time and careful consideration.  At Hardin, we have the expertise to provide an independent review of your compliance program,…