Category: Investment Advisers
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…
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…
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…
Broker Dealer | Electronic Communication | Investment Advisers | Records Management |
The Rise of Slack, Teams, Hangouts, Stride and Other Instant Messaging Apps for the Remote Workforce – Are your Books and Records Practices up for the Challenge?
The ever-increasing collaboration and instant messaging platforms like Microsoft Teams and Slack have become more popular and have changed the way we interact with our co-workers. If you are a…
Disclosures | Form ADV | Investment Advisers | Regulatory Filings
It’s Form ADV Season
Did you know, one of the most frequently identified deficiencies in SEC examinations of RIAs is inaccurate or omitted Form ADV disclosures? These deficiencies have even led to enforcement proceedings!…
Conflicts of Interest | Form ADV | Investment Advisers | Share Class Selection Disclosure
Coming Clean on Conflicts of Interest: Tips for Updating Your Form ADV for 2020
As you prepare your update to Form ADV, pay particular attention to disclosure of conflicts of interest. Everyone should have gotten the memo by now about disclosure of 12b-1 fees…
Annual Compliance Program Review | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Investment Advisers | Seniors and Vulnerable Investors
SEC’s Top 10 Hits: Investment Adviser Regulatory Review 2019 – Part 2
Here the remaining top 5 hits from our investment adviser regulatory review. (Check out Part 1 here.) The SEC remains concerned about information security, including cyber-related risks, and 2020 is…
Annual Compliance Program Review | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Investment Advisers | Seniors and Vulnerable Investors
SEC’s Top 10 Hits: Investment Adviser Regulatory Review 2019 – Part 1
Based on regulatory developments from 2019, here are our suggestions for updates to your RIA compliance program for 2020. The SEC’s top regulatory initiatives in 2019 defined the standard of…
Annual Compliance Program Review | Blue Sky Filings | Broker Dealer | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Examinations and Audits | Form ADV | Investment Advisers | Mutual Funds | SEC Risk Alert | Seniors and Vulnerable Investors | States | Supervision |
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2019
In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7. As…