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Top 10 Tips for Updating your Compliance Program for 2021

As 2020 finally comes to a close, compliance officers face the unenviable job of performing their compliance program’s annual review under Advisers Act Rule 206(4)-7).  An essential element of that…

Broker Dealer | Hedge Funds | Investment Advisers | Marketing and Sales Activities | Private Investment Funds

Common Myths about Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption”

In the financial services industry, whenever money changes hands, everyone involved in the process wants to get paid.  Investors understand that registered investment advisers and broker-dealers are compensated for their…

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…