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…

Jaqueline Hummel, Partner and Managing Director, will be attending the 2018 NSCP National Conference in Atlanta, Georgia from Monday, October 29 through Wednesday, October 31 at the OMNI Atlanta Hotel…

Jaqueline Hummel, Partner and Managing Director, and Carolyn Mendelson, Senior Compliance Consultant will be attending the 2018 Ohio Securities Conference on October 26, 2018, at the Westin Great Southern Columbus…

Fellow Compliance Professionals! Today is Compliance Officer Day, which was started by SAI Global in 2016.  Take some time to pat yourself on the back for your often unacknowledged role…

The headlines have been heralding the demise of the Department of Labor’s (DOL) Fiduciary Rule.  But what does it really mean? Let’s look at what happened.  On March 15, 2018,…

On April 6, 2018, the SEC released three settlement orders with investment advisers because they “failed to disclose conflicts of interest and violated their duty to seek best execution by…

Working through the Form ADV update has been especially challenging this year for many investment advisers.  Aside from the traditionally confusing questions, the Form has been updated to include some…

Complying with Blue Sky Laws can be complicated and burdensome, and engaging outside counsel to perform the filings can be expensive.  At Hardin, we have the consultants and tools necessary…

IARD will be open on Saturday, March 31, 2018, therefore the deadline for filing an annual updating amendment to Form ADV will NOT be extended to Monday, April 2, 2018. …

Based on our review of the investment adviser regulatory landscape of 2017, these are the top 11 recommendations for investment adviser CCOs for updating their compliance programs: The revisions to the…