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…

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,…

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…

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…

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…

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…

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…

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…

First published in LinkedIn, December 23, 2015 As part of the annual review of an investment adviser’s compliance program, it’s a best practice to review the regulatory compliance manual to…

By Jaqueline M. Hummel, Managing Director November 13, 2015 On November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert on the outsourcing of compliance…