Category: Hardin News
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…
Hardin News | Hardin Press Releases
Meet Hardin Compliance at Financial Markets Association Compliance Seminar
Matthew S. Hardin, Esq., CEO and President of Hardin Compliance Consulting will be speaking at the Financial Markets Association at the Marriott Pompano Beach Hotel in Fort Lauderdale, Florida from…
Hardin News | Hardin Press Releases
Hardin Compliance Partner Recognized in JD Supra Readers’ Choice Award
Hardin Compliance Consulting partner and managing director, Jaqueline Hummel, has been recognized by JD Supra as one of the top five authors writing on compliance issues in 2018. “I’m delighted…
Business Continuity and Disaster Recovery | Hardin News | Hardin Press Releases
IA Watch Webinar on Real-Life Lessons on BCPs with Jill Grenda, Managing Director at Hardin Compliance Consulting
Don’t miss IA Watch’s FREE webinar, Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs on April 16 from 2:00 p.m. to 3:00 p.m. EDT. This webinar features…
Hardin News | Hardin Press Releases
Meet Hardin Compliance at Charles Schwab 2019 Compliance Solutions National Conference
Sarah (LeDonne) D’Amico, Managing Director and Cari Hopfensperger, Senior Compliance Consultant will be attending the Charles Schwab 2019 Compliance Solutions National Conference at The Peabody in Memphis, Tennessee from Wednesday,…
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,…
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…
Blue Sky Filings | Hardin News | Hedge Funds | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
Hardin Compliance Now Offers Blue Sky Filings Services for Hedge and Private Fund Managers
Complying with Blue Sky Laws can be complicated and burdensome, and engaging outside counsel to perform the filings can be expensive. At Hardin, we have the consultants and tools necessary…
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…