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Hardin’s Jaqueline Hummel Speaks at PLI’s Webinar on Fundamentals of Investment Adviser Regulation 2020

Join Hardin Partner and Managing Director, Jaqueline Hummel, at the Practicing Law Institute’sTMFundamentals of Investment Adviser Regulation 2020“, a full-day webinar, on September 23, 2020.  Register for the event on the PLI website.

The event provides a solid foundation in the regulatory regime for investment advisers and offers extensive discussion and analysis regarding “hot topics” facing advisers today.  Attendees will also learn how the Investment Advisers Act of 1940 and state securities laws interact to govern the advisory industry.  Ms. Hummel will be participating in a panel titled Retail Advisory Services; Advisory Programs, moderated by Clifford E. Kirsch, Partner at Eversheds-Sutherland.  Kay A. Gordon, Nelson Mullins Riley & Scarborough LLP will also be speaking.

Chairperson for the program: Clifford E. Kirsch, Eversheds-Sutherland (US) LLP


Maureen Baker Fialcowitz, Prudential Financial; Kay A. Gordon, Nelson Mullins Riley & Scarborough LLP; Maurya C. Keating, U.S. Securities and Exchange Commission; G. Phillip Rutledge, Bybel Rutledge LLP; Steven A. Yadegari, Cramer Rosenthal McGlynn, LLC; Kenneth J. Berman, Debevoise & Plimpton LLP; Issa J. Hanna, Eversheds-Sutherland (US) LLP; Danielle Nicholson Smith, T. Rowe Price Investment Services, Inc. and T. Rowe Price Advisory Services, Inc; Stacey Song, Fried, Frank, Harris, Shriver & Jacobson LLP; Sara P. Crovitz, Stradley Ronon Stevens & Young, LLP; Jaqueline M. Hummel, Hardin Compliance Consulting LLC; Peter M. Rosenblum, Foley Hoag LLP; Heather L. Traeger, Teacher Retirement System of Texas.


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Have a compliance question or want an independent review of your compliance program?  Hardin Compliance can help!  Call us today at 1.724.935.6770, or visit our website at for more information.


Hardin Compliance Consulting provides links to other publicly-available legal and compliance websites for your convenience. These links have been selected because we believe they provide valuable information and guidance.  The information in this e-newsletter is for general guidance only.  It does not constitute the provision of legal advice, tax advice, accounting services, or professional consulting of any kind.

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