Author: Jaqueline Hummel, Partner and Managing Director
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 | 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…
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…