Business Continuity and Disaster Recovery | COVID-19 Pandemic | Regulatory Filings | State News

State Regulators Not Feeling So Graceful Now: Investment Adviser Representatives Who Relocated to Other States for Pandemic May Have to Register as Grace Periods End

State regulators recognize that the new “work from home” environment is here to stay.  Several have ended grace periods that allowed investment adviser representatives (IARs) to provide advisory services in…

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…