Broker Dealer | Electronic Communication | Investment Advisers | Records Management |

The Rise of Slack, Teams, Hangouts, Stride and Other Instant Messaging Apps for the Remote Workforce – Are your Books and Records Practices up for the Challenge?

The ever-increasing collaboration and instant messaging platforms like Microsoft Teams and Slack have become more popular and have changed the way we interact with our co-workers.  If you are a…

Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Examinations and Audits | Records Management | Testing

SEC Exam Impact: Helping Firm Management to Understand the “Value Add” of a Well-Run Compliance Program

By: Jaqueline M. Hummel, IACCP®, AIFA® Managing Director, Hardin Compliance Consulting May 12, 2014 The SEC recently announced an initiative to examine registered investment advisers who have never been subjected…