Category: Investment Advisers
Advertising and Marketing Regulation | Cash Solicitation Rule | Investment Advisers | Private Funds |
The New Marketing Rule and the Seven Prohibitions: Sneaky, Sloppy, Tricky, Shifty, Iffy, Flimsy, and Dicey
Analyzing the SEC’s new Marketing Rule (Rule 206(4)-1, or the “New Rule”) is a monumental task, so I am breaking it down into a series of six blog posts. This…
Investment Advisers | Regulatory Filings | States
Practical Thought Leadership – Updated Advice to RIAs on State IAR Registrations and Notice Filings
Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: Client Relationships Go Virtual, but State Regulators Remain Focused on Where RIA Clients Live, by Partner…
Compliance Programs | Investment Advisers | Mutual Funds | Private Investment Funds | Regulatory Filings |
Investment Adviser Compliance “To Do” List for 2021
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…
Investment Advisers | Regulatory Filings | Section 13 Filings
Advisers: Do You Have a Form 13F Filing Obligation?
Under the Securities Exchange Act of 1934[1], as amended (the “Exchange Act”), advisers who exercise investment discretion over accounts that hold exchange-traded securities may be subject to reporting requirements as…
Advertising and Marketing Regulation | Annual Compliance Program Review | Broker Dealer | Business Continuity and Disaster Recovery | COVID-19 Pandemic | Disclosures | Investment Advisers | Private Investment Funds | Regulation Best Interest | SEC Risk Alert | Seniors and Vulnerable Investors | States
Top 10 Tips for Updating your Compliance Program for 2021
As 2020 finally comes to a close, compliance officers face the unenviable job of performing their compliance program’s annual review under Advisers Act Rule 206(4)-7). An essential element of that…
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…