Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP)  Currents: Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption” by Partner…

  With laws varying by state, keeping up with blue sky filing requirements can be a headache.  Many state laws don’t mention amendments (or renewals), but does that mean they…

Like other private fund managers, those advising offshore funds offered in the United States (“U.S.”) routinely rely on Regulation D (“Reg D”) to avoid registration with the SEC under the…

Private fund managers routinely rely on Regulation D (“Reg D”) to avoid registering their offerings with the Securities and Exchange Commission (“SEC”) under the Securities Act of 1933.   Rule 506 of Reg…

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…

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…

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…

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…