Category: Compliance Program Rule, Rule 206(4)-7
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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…
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 | 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,…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Investment Advisers Act | Regulatory Filings
Investment Adviser Compliance “To Do” List for 2019
Photo by Kyle Glenn on Unsplash Updated January 7, 2019 Hardin Compliance Consulting compiled a list of regulatory deadlines for investment advisers. This list is not intended to be exhaustive, but it should…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | Private Equity Funds | Private Investment Funds | Regulatory Filings
Investment Advisers Compliance “To Do” List for 2018
Updated May 19, 2018 Hardin Compliance Consulting has compiled a list of SEC regulatory requirements for investment advisers. This is not intended to be an exhaustive list, but it should…
Compliance Program Rule, Rule 206(4)-7 | Examinations and Audits | Hardin News | Training
Jaqueline Hummel to speak at Cincinnati Compliance Roundtable on SEC Exams
Jaqueline Hummel, Partner and Managing Director of Hardin Compliance Consulting will be providing an insider’s view from a consulting firm’s experience during 32 SEC investment advisers’ exams. The presentation will…
Advertising and Marketing Regulation | Best Execution | Code of Ethics | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Custody | Disclosures | Examinations and Audits | Form ADV
SEC EXAMINATIONS: COMPARING EXAM PRIORITIES TO RESULTS
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is upfront about the areas it will be testing during its examinations of investment advisers. In January, OCIE publishes its Examination…
Compliance Program Rule, Rule 206(4)-7 | Form ADV
SEC Schools Advisory Firm on Compliance Obligations
By Chelsea Bosiljevac, Compliance Associate May 11, 2016 The SEC recently issued a settlement order against an SEC-registered investment adviser and its CEO/CCO, demonstrating a continued focus on the SEC’s…
Compliance Program Rule, Rule 206(4)-7 | Custody | Form ADV
Owner of Formerly Registered Investment Adviser Settles with SEC Regarding Custody Rule, Compliance Rule, and Form ADV Violations
By: Kathleen A. Olesinski, Senior Compliance Consultant May 11, 2016 In a recent administrative proceeding, a fund manager’s principal, who also served as the Chief Compliance Officer, was barred from…