Anti-Money Laundering | Beneficial Ownership | CIMA | Offshore Funds | Private Investment Funds | Regulatory Filings

Cayman Islands Requires Companies to Maintain Beneficial Ownership Register; Is Your Fund In or Out (of Scope)?

As of July 1, 2018, companies and limited liability companies incorporated or registered in the Cayman Islands are required to maintain a beneficial ownership register at their Cayman Islands-registered offices…

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…

Best Execution | Compliance Programs | Department of Labor | ERISA | Performance Advertising and Reporting | Private Investment Funds | Regulatory Filings | SEC Risk Alert | Whistleblower

Key Takeaways for Updating your Compliance Program in 2017: Investment Advisers, Hedge Funds and Private Equity Funds

Based on the regulatory developments from 2016 (see our blog post), here’s our suggestions for updates for your compliance manual for 2017. The Department of Labor’s (“DOL”) Conflict of Interest…

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…