Broker Dealer | Hedge Funds | Investment Advisers | Marketing and Sales Activities | Private Investment Funds

Common Myths about Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption”

In the financial services industry, whenever money changes hands, everyone involved in the process wants to get paid.  Investors understand that registered investment advisers and broker-dealers are compensated for their…

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,…