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…

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…

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. …

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…

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 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…

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…

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,…

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,…

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…