Hardin News
Hardin Featured as Pittsburgh Business Leader in Fortune, Entrepreneur and Bloomberg Businessweek
Hardin Compliance Consulting was recently featured in Fortune, Entrepreneur & Bloomberg Businessweek as a Pittsburgh business leader. Read more to learn something you may not have known about Hardin! Our…
Chief Compliance Officer | Compliance Programs | Hardin News
Practical Thought Leadership – Seven Mistakes to Avoid in your Compliance Program
Hardin is pleased to share this recent contribution to the May 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner. In Seven Mistakes to Avoid in Your Compliance Program, Jaqueline M. Hummel calls…
Broker Dealer | Electronic Communication | Investment Advisers | Records Management
The Rise of Slack, Teams, Hangouts, Stride and Other Instant Messaging Apps for the Remote Workforce – Are your Books and Records Practices up for the Challenge?
The ever-increasing collaboration and instant messaging platforms like Microsoft Teams and Slack have become more popular and have changed the way we interact with our co-workers. If you are a…
Hardin News | Seniors and Vulnerable Investors | States
Practical Thought Leadership – Seniors & Vulnerable Investors
Hardin is pleased to share this recent contribution to the March 2020 issue of the National Society of Compliance Professionals’ (NSCP) Currents newsletter. In “Senior Safe” Legislation – A Carrot and…
Hardin News
Hardin Compliance Consultants Receive JD Supra Readers’ Choice Awards
Jaqueline Hummel, Partner and Managing Director, and Cari Hopfensperger, Senior Compliance Consultant, have been recognized by JD Supra as among the top ten authors writing on compliance issues in 2019. They…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Regulatory Filings
Practical Thought Leadership – Form D & Blue Sky Filings for Private Funds
Check out this recent Hardin contribution to the February 2020 issue of the National Society of Compliance Professionals’ (NSCP) Currents newsletter: In “Form ID, Form D, Blue Sky…Oh My!“, Denise Alfieri, Managing…
Business Continuity and Disaster Recovery | COVID-19 Pandemic | Cybersecurity | IT Compliance
FBI and CISA Warn of Increased Hacking Attempts of Video Teleconferencing Applications… Steps You Can Take
CISA (The Cybersecurity and Infrastructure Security Agency within the Department of Homeland Security) recently released an alert calling attention to FBI guidance on hacking attempts of video teleconferencing (VTC) applications. …
Blue Sky Filings | COVID-19 Pandemic | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings
Blue Sky Filings & COVID-19 Considerations
As a general rule, private funds that rely on an exemption from registration under Rule 506 of Regulation D of the Securities Act (including offshore funds) have to submit a…
Disclosures | Form ADV | Investment Advisers | Regulatory Filings
It’s Form ADV Season
Did you know, one of the most frequently identified deficiencies in SEC examinations of RIAs is inaccurate or omitted Form ADV disclosures? These deficiencies have even led to enforcement proceedings!…
Business Continuity and Disaster Recovery | Chief Compliance Officer | Cybersecurity | Hardin News | Liquidity | SEC News
Practical Tips for Compliance Professionals for Dealing with the COVID-19 Pandemic
Hardin Compliance Consulting remains up and running, and we do not anticipate any disruptions in client service. In response to the request from Allegheny County Officials and other governmental organizations,…