Category: Hardin News
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Regulatory Compliance Consulting at its Finest!
To our clients, compliance colleagues, and friends, Hardin Compliance Consulting is pleased to announce that it has joined Foreside Financial Group, one of the nation’s premier regulatory compliance consulting…
Annual Compliance Program Review | Hardin News
Practical Thought Leadership – Top 10 Tips for Updating Your Compliance Program in 2021
Originally published on Hardin’s Compliance Informer blog, Hardin is pleased to share this recent reprint featured in the National Society of Compliance Professionals (NSCP) Currents: Top 10 Tips for Updating Your…
Hardin News | Hardin Press Releases |
Hardin’s Own Awarded JD Supra Readers’ Choice Top Authors 2021!
Cari Hopfensperger, Senior Compliance Consultant, Jaqueline Hummel, Partner and Managing Director, and have been recognized by JD Supra as among the top ten authors writing on compliance issues in 2020. They…
Hardin News
Congratulations! Hardin Managing Director, Rochelle Truzzi, Appointed to FPA’s Public Policy Council
Congratulations to Rochelle Truzzi, Managing Director, on her recent appointment to the Financial Planning Association’s (FPA) Public Policy Council. A member of FPAs Pittsburgh chapter, Ms. Truzzi will leverage her…
Broker Dealer | Hardin News | Investment Advisers | Private Equity Funds | Private Placements | Referrals
Practical Thought Leadership – Common Myths About Finders, Solicitors, Unregistered Broker-Dealers and the “Issuer Exemption”
Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption” by Partner…
Broker Dealer | Fiduciary | Form CRS | Hardin News | Investment Advisers | Regulation Best Interest
Practical Thought Leadership – Form CRS and Reg BI are Here: Now What?
Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: “Form CRS and Reg BI are Here: Now What?“, by Senior Compliance Consultant, Doug…
Compliance Programs | Hardin News | Investment Advisers | Investment Advisers Act
Hardin’s Jaqueline Hummel Speaks at PLI’s Webinar on Fundamentals of Investment Adviser Regulation 2020
Join Hardin Partner and Managing Director, Jaqueline Hummel, at the Practicing Law Institute’sTM “Fundamentals of Investment Adviser Regulation 2020“, a full-day webinar, on September 23, 2020. Register for the event…
Hardin News
Hardin Featured as Pittsburgh Business Leader in Fortune, Entrepreneur and Bloomberg Businessweek
Hardin Compliance Consulting was recently featured in Fortune, Entrepreneur & Bloomberg Businessweek as a Pittsburgh business leader. Read more to learn something you may not have known about Hardin! Our…
Chief Compliance Officer | Compliance Programs | Hardin News
Practical Thought Leadership – Seven Mistakes to Avoid in your Compliance Program
Hardin is pleased to share this recent contribution to the May 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner. In Seven Mistakes to Avoid in Your Compliance Program, Jaqueline M. Hummel calls…
Hardin News | Seniors and Vulnerable Investors | States
Practical Thought Leadership – Seniors & Vulnerable Investors
Hardin is pleased to share this recent contribution to the March 2020 issue of the National Society of Compliance Professionals’ (NSCP) Currents newsletter. In “Senior Safe” Legislation – A Carrot and…