Author: Jaqueline Hummel, Partner and Managing Director
Business Continuity and Disaster Recovery | Chief Compliance Officer | Cybersecurity | Hardin News | Liquidity | SEC News
Practical Tips for Compliance Professionals for Dealing with the COVID-19 Pandemic
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,…
Conflicts of Interest | Form ADV | Investment Advisers | Share Class Selection Disclosure
Coming Clean on Conflicts of Interest: Tips for Updating Your Form ADV for 2020
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…
Annual Compliance Program Review | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Investment Advisers | Seniors and Vulnerable Investors
SEC’s Top 10 Hits: Investment Adviser Regulatory Review 2019 – Part 2
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…
Annual Compliance Program Review | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Investment Advisers | Seniors and Vulnerable Investors
SEC’s Top 10 Hits: Investment Adviser Regulatory Review 2019 – Part 1
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…
Annual Compliance Program Review | Blue Sky Filings | Broker Dealer | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Examinations and Audits | Form ADV | Investment Advisers | Mutual Funds | SEC Risk Alert | Seniors and Vulnerable Investors | States | Supervision
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2019
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…
Hardin News
NSCP Webinar on State Regulatory Initiatives Features HCC’s Carolyn Mendelson
Don’t miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join…
Annual Compliance Program Review | Compliance Officer | Compliance Programs | Examinations and Audits | Third Party Service Providers
Ten Reasons to Hire an RIA Compliance Consulting Firm
There are times when it makes sense to hire an expert. Securities regulations are complicated and failure to comply can be costly, both in terms of fines and damage to…
Hardin News | Hardin Press Releases
Hardin Compliance to Attend National Society of Compliance Professionals Annual Conference in Baltimore
David Rishel, Partner and Chief Operating Officer, and Cara Sharbaugh, Compliance Consultant, will be attending the 2019 National Conference of the National Society of Compliance Professionals at The Hilton in…
Hardin News | Hardin Press Releases
Hardin Compliance to Attend NRS Conference in Surf City USA
Jaqueline Hummel, Partner and Managing Director will be attending the NRS Fall 2019 Compliance Conference from October 15 through October 18, 2019 at the Hyatt Regency in Huntington Beach, California. …
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Hardin News
Get Some Popcorn and Watch Demos of the Hardin’s Compliance Navigator™ Program!
We are excited to share with you our NEW videos showcasing Hardin Compliance Consulting’s Compliance Navigator™ program powered by BasisCode Compliance. Our comprehensive program can be used by independent CCO…