Author: Jaqueline Hummel, Partner and Managing Director
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…
Annual Compliance Program Review | Compliance Programs
The Top Ten Features to Look for in a Compliance Program Management System
For a compliance officer, finding the right software to manage the compliance program is tough. The initial ask is to find an affordable system that can automate manual processes, allow…
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 | 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…