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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 Programs | Form ADV | Investment Advisers Act | Investment Company Act | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings

Investment Advisers Compliance “To Do” list for 2016 SEC Regulatory Deadlines for Investment Advisers

Updated February 2016 By: Jaqueline M. Hummel, Managing Director Samuel W. Pangas, Compliance Associate With the help of Sam Pangas, my compliance colleague at Hardin Compliance Consulting, we have compiled…