Category: SEC News
Broker Dealer | FINRA | SEC News
Certain Small Broker-Dealers Have an Additional 30 Days to File their Audited Financials
On February 12th, the SEC issued Release No. 34-91128 (“the Order”), which extends the annual audit filing deadline for certain small broker-dealers. In order to take advantage of the 30…
Business Continuity and Disaster Recovery | Chief Compliance Officer | Cybersecurity | Hardin News | Liquidity | SEC News |
Practical Tips for Compliance Professionals for Dealing with the COVID-19 Pandemic
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,…
Fiduciary | Form ADV | Investment Advisers Act | Regulatory Filings | SEC News
One-Year Runway for RIAs and BDs to Comply with New Regulation Best Interest
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…
Best Execution | Disclosures | Form ADV | SEC News | Share Class Selection Disclosure
The Real Nightmare Before Christmas: SEC Gets Tough on Firms that Did Not Self-Report during SCSD Initiative
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…
Best Execution | Conflicts of Interest | Disclosures | Mutual Funds | SEC News
SEC Offers “Favorable Terms” to Advisers that Self-Report Failure to Disclose Receipt of 12b-1 Fees
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…
Cybersecurity | FINRA Rules | OFAC | SEC News |
FMA Legal and Legislative Conference In Washington D.C. October 25-26
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,…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | SEC News
SEC issues Risk Alert on Outsourcing Compliance
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…
Anti-Money Laundering | Business Continuity and Disaster Recovery | Code of Ethics | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | IT Compliance | Patriot Act | SEC News
2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds Part 1 of a 2 Part series
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…
Examinations and Audits | SEC News
OCIE’s June 22nd Risk Alert: Retirement-Targeted Industry Reviews and Examinations Initiative (ReTIRE)
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…
Disclosures | Form ADV | Investment Advisers Act | Investment Company Act | Regulatory Filings | SEC News
SEC Asks for More Data from Funds and Advisers
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…