Category: Private Equity Funds
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
The Devil is in the Details Part 1: A Primer on Form D and Blue Sky Filings for Private Fund Managers
With all the filings regulators require these days, just getting started can seem daunting. Luckily, Hardin Compliance Consulting, LLC (HCC) is here to help! HCC has years of experience in…
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…
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…
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…
Advertising and Marketing Regulation | Compliance Programs | Custody | Cybersecurity | Department of Labor | Form ADV | Hedge Funds | Private Equity Funds | SEC Risk Alert
SEC’S TOP ELEVEN HOT BUTTONS: REGULATORY REVIEW 2017
At the end of the year, I review the changes to the SEC’s regulatory environment over the past 12 months. My goal is to identify the biggest hot buttons for…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | Private Equity Funds | Private Investment Funds | Regulatory Filings
Investment Advisers Compliance “To Do” List for 2018
Updated May 19, 2018 Hardin Compliance Consulting has compiled a list of SEC regulatory requirements for investment advisers. This is not intended to be an exhaustive list, but it should…
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…
Compliance Programs | Private Equity Funds | Private Investment Funds | Private Placements |
2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds: Part 2 of a 2-part Series
November 6, 2015 By: Jaqueline M. Hummel, Managing Director As promised, I am continuing my two-part series, with this article providing additional recommendations for private equity and hedge fund managers…