Annual Compliance Program Review | Compliance Program Rule, Rule 206(4)-7 | Form ADV | Hardin News | Hedge Funds | Private Equity Funds | Regulatory Filings

No Time to write the Annual Review of your Compliance Program? Want Expert Advice on Drafting your Form ADV Update? Hardin Compliance can help!

Drafting the annual review of your investment adviser compliance program takes time and careful consideration.  At Hardin, we have the expertise to provide an independent review of your compliance program,…

Best Execution | Cash Solicitation Rule | Chief Compliance Officer | Compliance Programs | Conflicts of Interest | Custody | Cybersecurity | Disclosures | Examinations and Audits | Mutual Funds | Private Equity Funds

SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2018

Photo by Mark Duffel on Unsplash The SEC’s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers.  In reviewing the SEC’s activity over the past 12 months, I…

Blue Sky Filings | Hardin News | Hedge Funds | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings

Hardin Compliance Now Offers Blue Sky Filings Services for Hedge and Private Fund Managers

Complying with Blue Sky Laws can be complicated and burdensome, and engaging outside counsel to perform the filings can be expensive.  At Hardin, we have the consultants and tools necessary…

Advertising and Marketing Regulation | Custody | Cybersecurity | Department of Labor | Form ADV | Hedge Funds | Pay to Play | Penetration Testing | Private Equity Funds

11 Key Takeaways for Updating your Compliance Program in 2018: Investment Advisers, Hedge Funds and Private Equity Funds

Based on our review of the investment adviser regulatory landscape of 2017, these are the top 11 recommendations for investment adviser CCOs for updating their compliance programs: The revisions to the…

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…

Advertising and Marketing Regulation | Hedge Funds | Investment Advisers Act | Performance Advertising and Reporting | Private Equity Funds | Private Investment Funds

How to Avoid “Cherry Picking” for Hedge Fund and Private Equity Fund Managers

July 16, 2014 By Jaqueline M. Hummel, IACCP®, AIFA® Managing Director For many hedge fund and private equity fund managers new to the world of SEC regulation, it comes as…