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…

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. …

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…

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!…

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,…

As you prepare your update to Form ADV, pay particular attention to disclosure of conflicts of interest.  Everyone should have gotten the memo by now about disclosure of 12b-1 fees…

  Matthew Hardin, President & CEO, David Rishel, Partner and Chief Operating Officer, and Jaqueline Hummel, Partner and Managing Director, will be attending the 2020 IAA Investment Adviser Compliance Conference…

Here the remaining top 5 hits from our investment adviser regulatory review. (Check out Part 1 here.) The SEC remains concerned about information security, including cyber-related risks, and 2020 is…

Based on regulatory developments from 2019, here are our suggestions for updates to your RIA compliance program for 2020. The SEC’s top regulatory initiatives in 2019 defined the standard of…

In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7.  As…