Author: Jaqueline Hummel, Partner and Managing Director
Annual Compliance Program Review | Chief Compliance Officer | Compliance Program Rule, Rule 206(4)-7
Write the Best Annual Compliance Program Review EVER!
Many chief compliance officers struggle every year with preparing the annual review and, based on the OCIE’s summary of the most frequently identified exam deficiencies; some are not up to…
Annual Compliance Program Review | Compliance Program Rule, Rule 206(4)-7 | Form ADV | Hardin News | Hedge Funds | Private Equity Funds | Regulatory Filings
No Time to write the Annual Review of your Compliance Program? Want Expert Advice on Drafting your Form ADV Update? Hardin Compliance can help!
Drafting the annual review of your investment adviser compliance program takes time and careful consideration. At Hardin, we have the expertise to provide an independent review of your compliance program,…
Best Execution | Cash Solicitation Rule | Compliance Programs | Conflicts of Interest | Cybersecurity | Examinations and Audits | Investment Advisers Act | Investment Company Act | Liquidity | Mutual Funds | Private Investment Funds | Share Class Selection Disclosure | Testing
Eleven Key Takeaways for Updating your Compliance Program in 2019: Investment Advisers, Mutual Funds, Hedge Funds and Private Equity Funds
Photo by NordWood Themes on Unsplash Cari Hopfensperger, Senior Compliance Consultant, co-wrote this article. Based on regulatory developments from 2018, here are our suggestions for updates to your compliance program for 2019. Conflict…
Best Execution | Cash Solicitation Rule | Chief Compliance Officer | Compliance Programs | Conflicts of Interest | Custody | Cybersecurity | Disclosures | Examinations and Audits | Mutual Funds | Private Equity Funds
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2018
Photo by Mark Duffel on Unsplash The SEC’s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. In reviewing the SEC’s activity over the past 12 months, I…
Best Execution | Disclosures | Form ADV | SEC News | Share Class Selection Disclosure
The Real Nightmare Before Christmas: SEC Gets Tough on Firms that Did Not Self-Report during SCSD Initiative
Photo by Simon Matzinger on Unsplash The SEC’s Enforcement Division is following up on the Share Class Selection Disclosure Initiative (the “SCSD Initiative”) by sending out document requests to dually-registered investment advisers and…
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
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…
Hardin News
Hardin Compliance to Attend National Society of Compliance Professionals Annual Conference in Atlanta
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…
Hardin News
Hardin Compliance to Attend Ohio Securities Conference
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…
Compliance Officer
Happy Compliance Officer Day!
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…
Broker Dealer | Disclosures | DOL | DOL Fiduciary Rule | ERISA | Investment Advisers Act
The Fiduciary Rule is Dead — What Should Investment Advisers and Broker-Dealers Do Now?
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,…