Hardin Compliance Consulting remains up and running, and we do not anticipate any disruptions in client service. In response to the request from Allegheny County Officials and other governmental organizations,…

On June 5, in a 3-1 vote, the SEC approved a regulatory standards-of-conduct package for Broker-Dealers and Investment Advisers, with a compliance date of June 30, 2020.   The approved package…

Photo by Simon Matzinger on Unsplash The SEC’s Enforcement Division is following up on the Share Class Selection Disclosure Initiative (the “SCSD Initiative”) by sending out document requests to dually-registered investment advisers and…

On February 12, 2018, the SEC Division of Enforcement announced a new self-reporting initiative – the Share Class Selection Disclosure (the “SCSD Initiative”).  The Initiative, led by the Commission’s Asset…

Check out  FMA’s 2017 Legal & Legislative Conference October 25-26 in Washington, DC.  Financial Markets Association is looking for new members and is offering complementary registration for  “first-timers” who work outside the Washington,…

By Jaqueline M. Hummel, Managing Director November 13, 2015 On November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert on the outsourcing of compliance…

November 10, 2015 By: Jaqueline M. Hummel,  Managing Director  Toward the end of the year, I take an inventory of the changes to the SEC’s regulatory landscape in the past…

In conjunction with Focus1 Associates, Hardin Compliance Consulting presents:  OCIE’s June 22nd Risk Alert Retirement-Targeted Industry Reviews and Examinations Initiative (ReTIRE) OCIE, through the National Examination Program (NEP), will conduct…

By Jaqueline M. Hummel, Managing Director May 21, 2015  On May 20, 2015, the SEC proposed some rule changes and amendments to forms that will require additional reporting and disclosure…

By: Jaqueline M. Hummel, Managing Director March 7, 2015 This doesn’t happen often, but on March 2, SEC Commissioner Daniel M. Gallagher actually expressed some concern about the regulatory burdens…