Best Execution | Code of Conduct | Conflicts of Interest | Disclosures | Examinations and Audits | Fiduciary

What Your Next Deficiency Letter is Going to Say: SEC Tells Advisers What Fiduciary Duty Means

With all the buzz about the passage of Regulation Best Interest (“Reg BI”), the “Commission Interpretation Regarding Standard of Conduct for Investment Advisers” (the “Interpretation”) has received much less attention….

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…