Category: Referrals
Broker Dealer | Hardin News | Investment Advisers | Private Equity Funds | Private Placements | Referrals
Practical Thought Leadership – Common Myths About Finders, Solicitors, Unregistered Broker-Dealers and the “Issuer Exemption”
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…
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…