Analyzing the SEC’s new Marketing Rule (Rule 206(4)-1, or the “New Rule”) is a monumental task, so I am breaking it down into a series of six blog posts. This…

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…

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…

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…

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…

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…

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…

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…