Category: Investment Advisers
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…
CFTC Regulation | Compliance Programs | Investment Advisers | Investment Advisers Act | Investment Company Act | Mutual Funds | Private Investment Funds | Regulatory Filings
Investment Adviser Compliance “To Do” List for 2020
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…
Broker Dealer | Fiduciary | Investment Advisers | State News
Massachusetts Securities Chief Finds Reg BI Lame and Creates Stricter Fiduciary Standards for Bay State Residents
The Massachusetts Securities Division (“MSD”) is moving ahead with its proposed uniform fiduciary standard of conduct for both broker-dealers and investment advisers (“MA Rule”, or “Fiduciary Conduct Standard”). Secretary of…