For a compliance officer, finding the right software to manage the compliance program is tough.  The initial ask is to find an affordable system that can automate manual processes, allow…

Read Part 1: The Devil is in the Details: A Primer on Form D and Blue Sky Filings for Private Fund Managers, and Part 2:  Form D and Blue Sky…

FINRA announced on July 1st that Exchange-Traded Notes (“ETNs”) will be excluded from the reduced margin requirements set forth under Rule 4210(e)(2)(C) available to positions in ordinary investment-grade debt securities,…

With all the buzz about the passage of Regulation Best Interest (“Reg BI”), the “Commission Interpretation Regarding Standard of Conduct for Investment Advisers” (the “Interpretation”) has received much less attention….

On June 5, in a 3-1 vote, the SEC approved a regulatory standards-of-conduct package for Broker-Dealers and Investment Advisers, with a compliance date of June 30, 2020.   The approved package…

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…