Disclosures | Form ADV | Regulatory Filings
How I Learned to Stop Worrying and Learned to Love Form ADV
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…
Annual Compliance Program Review | Chief Compliance Officer | Compliance Program Rule, Rule 206(4)-7
Write the Best Annual Compliance Program Review EVER!
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…
Annual Compliance Program Review | Compliance Program Rule, Rule 206(4)-7 | Form ADV | Hardin News | Hedge Funds | Private Equity Funds | Regulatory Filings
No Time to write the Annual Review of your Compliance Program? Want Expert Advice on Drafting your Form ADV Update? Hardin Compliance can help!
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,…
Anti-Money Laundering | Broker Dealer | Examinations and Audits | FINRA | Regulatory Filings
Broker-Dealer 2018 Regulatory Year in Review
Photo by rawpixel on Unsplash We’ve put together a list of rules, enforcement actions and regulatory developments for broker-dealers for 2018. We recommend that broker-dealers use this review as a resource when…
Best Execution | Cash Solicitation Rule | Compliance Programs | Conflicts of Interest | Cybersecurity | Examinations and Audits | Investment Advisers Act | Investment Company Act | Liquidity | Mutual Funds | Private Investment Funds | Share Class Selection Disclosure | Testing
Eleven Key Takeaways for Updating your Compliance Program in 2019: Investment Advisers, Mutual Funds, Hedge Funds and Private Equity Funds
Photo by NordWood Themes on Unsplash Cari Hopfensperger, Senior Compliance Consultant, co-wrote this article. Based on regulatory developments from 2018, here are our suggestions for updates to your compliance program for 2019. Conflict…
Best Execution | Cash Solicitation Rule | Chief Compliance Officer | Compliance Programs | Conflicts of Interest | Custody | Cybersecurity | Disclosures | Examinations and Audits | Mutual Funds | Private Equity Funds
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2018
Photo by Mark Duffel on Unsplash The SEC’s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. In reviewing the SEC’s activity over the past 12 months, I…
Compliance Programs | FINRA | FINRA Rules | Regulatory Filings
Broker Dealer Compliance “To Do” List for 2019
Photo by Darkmoon 1968 on Pixabay Updated January 10, 2019 Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers. This list is not intended to be exhaustive, but…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Investment Advisers Act | Regulatory Filings
Investment Adviser Compliance “To Do” List for 2019
Photo by Kyle Glenn on Unsplash Updated January 7, 2019 Hardin Compliance Consulting compiled a list of regulatory deadlines for investment advisers. This list is not intended to be exhaustive, but it should…
Best Execution | Disclosures | Form ADV | SEC News | Share Class Selection Disclosure
The Real Nightmare Before Christmas: SEC Gets Tough on Firms that Did Not Self-Report during SCSD Initiative
Photo by Simon Matzinger on Unsplash The SEC’s Enforcement Division is following up on the Share Class Selection Disclosure Initiative (the “SCSD Initiative”) by sending out document requests to dually-registered investment advisers and…
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…