Category: Investment Advisers Act
Best Execution | Cash Solicitation Rule | Compliance Programs | Conflicts of Interest | Cybersecurity | Examinations and Audits | Investment Advisers Act | Investment Company Act | Liquidity | Mutual Funds | Private Investment Funds | Share Class Selection Disclosure | Testing
Eleven Key Takeaways for Updating your Compliance Program in 2019: Investment Advisers, Mutual Funds, Hedge Funds and Private Equity Funds
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…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Investment Advisers Act | Regulatory Filings
Investment Adviser Compliance “To Do” List for 2019
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…
Broker Dealer | Disclosures | DOL | DOL Fiduciary Rule | ERISA | Investment Advisers Act
The Fiduciary Rule is Dead — What Should Investment Advisers and Broker-Dealers Do Now?
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,…
Form ADV | Investment Advisers Act | Regulatory Filings
Feeling your Pain: Advice on Answering Form ADV’s Trickier Questions
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…
Form ADV | Investment Advisers Act | Regulatory Filings
Form ADV Updates Due March 31, 2018
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. …
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | Private Equity Funds | Private Investment Funds | Regulatory Filings
Investment Advisers Compliance “To Do” List for 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…
Disclosures | Form ADV | Investment Advisers Act
Amendments to Form ADV Part 1A for 2017
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…
Custody | Investment Advisers Act
SEC Says Advisers with Standing Letters of Authorization Have Custody
On February 21, 2017, the Securities and Exchange Commission (SEC) released guidance on the Custody Rule in the form of a no-action letter (“Letter”). The Investment Adviser Association (IAA) submitted…
Compliance Programs | Investment Advisers Act | Regulatory Filings
Investment Advisers To-Do list for 2017
With the help of Andrea Bova and Jill Grenda, my compliance colleagues at Hardin Compliance Consulting, we have compiled a list of SEC regulatory requirements for investment advisers. This is…
Compliance Programs | Department of Labor | Fiduciary | Investment Advisers Act | Private Investment Funds
DOL Crack Down, SEC Smackdown and Whistleblowers Double Down: 2016 Regulatory Review
The SEC was especially busy in 2016, bringing a record number of enforcement cases, churning out guidance and risk alerts, and issuing new rules and amendments. In reviewing the past…