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 Compliance Consulting compiled a list of regulatory deadlines for U.S. registered investment advisers, including advisers to private and U.S. registered mutual funds and those also registered as a CPO…

On June 5, in a 3-1 vote, the SEC approved a regulatory standards-of-conduct package for Broker-Dealers and Investment Advisers, with a compliance date of June 30, 2020.   The approved package…

Photo by NordWood Themes on Unsplash Cari Hopfensperger, Senior Compliance Consultant, co-wrote this article. Based on regulatory developments from 2018, here are our suggestions for updates to your compliance program for 2019. Conflict…

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…

The headlines have been heralding the demise of the Department of Labor’s (DOL) Fiduciary Rule.  But what does it really mean? Let’s look at what happened.  On March 15, 2018,…

Working through the Form ADV update has been especially challenging this year for many investment advisers.  Aside from the traditionally confusing questions, the Form has been updated to include some…

IARD will be open on Saturday, March 31, 2018, therefore the deadline for filing an annual updating amendment to Form ADV will NOT be extended to Monday, April 2, 2018. …

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…

The SEC issued its Final Rule adopting several changes to Part 1A of Form ADV in August 2016.  (See our blog post.) The amendments to the Form ADV focus on…