Advertising and Marketing Regulation | Annual Compliance Program Review | Broker Dealer | Business Continuity and Disaster Recovery | COVID-19 Pandemic | Disclosures | Investment Advisers | Private Investment Funds | Regulation Best Interest | SEC Risk Alert | Seniors and Vulnerable Investors | States
Top 10 Tips for Updating your Compliance Program for 2021
As 2020 finally comes to a close, compliance officers face the unenviable job of performing their compliance program’s annual review under Advisers Act Rule 206(4)-7). An essential element of that…
Business Continuity and Disaster Recovery | COVID-19 Pandemic | Regulatory Filings | State News
State Regulators Not Feeling So Graceful Now: Investment Adviser Representatives Who Relocated to Other States for Pandemic May Have to Register as Grace Periods End
State regulators recognize that the new “work from home” environment is here to stay. Several have ended grace periods that allowed investment adviser representatives (IARs) to provide advisory services in…
Broker Dealer | Hardin News | Investment Advisers | Private Equity Funds | Private Placements | Referrals
Practical Thought Leadership – Common Myths About Finders, Solicitors, Unregistered Broker-Dealers and the “Issuer Exemption”
Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption” by Partner…
Broker Dealer | Fiduciary | Form CRS | Hardin News | Investment Advisers | Regulation Best Interest
Practical Thought Leadership – Form CRS and Reg BI are Here: Now What?
Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: “Form CRS and Reg BI are Here: Now What?“, by Senior Compliance Consultant, Doug…
Broker Dealer | Hedge Funds | Investment Advisers | Marketing and Sales Activities | Private Investment Funds
Common Myths about Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption”
In the financial services industry, whenever money changes hands, everyone involved in the process wants to get paid. Investors understand that registered investment advisers and broker-dealers are compensated for their…
Compliance Officer
Take Your Compliance Officer Out to Lunch — It’s Compliance Officer Day!
September 26th is Compliance Officer Day, started by SAI Global in 2016. Show some appreciation to hard-working compliance officers for their often under-acknowledged role in managing risk and helping your…
Compliance Programs | Hardin News | Investment Advisers | Investment Advisers Act
Hardin’s Jaqueline Hummel Speaks at PLI’s Webinar on Fundamentals of Investment Adviser Regulation 2020
Join Hardin Partner and Managing Director, Jaqueline Hummel, at the Practicing Law Institute’sTM “Fundamentals of Investment Adviser Regulation 2020“, a full-day webinar, on September 23, 2020. Register for the event…
Blue Sky Filings | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings
The Devil is in the Details Part 8: Blue Sky Filings – Picking Your State
When making a private fund offering and you don’t know which blue-sky laws apply, who you gonna call? . . . Hardin Compliance! Although private fund managers know they have…
Examinations and Audits | Fiduciary | States
Hardin’s Carolyn Mendelson Speaks at NSCP Webinar on State Securities Law during COVID-19 and Fiduciary Duty Implementation
Join the NSCP and Hardin for a webinar on August 20th. The webinar covers “The State of State Securities Law during COVID-19 and Fiduciary Duty Implementation.” You can register on…
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…