Chief Compliance Officer | Compliance Programs | Hardin News

Practical Thought Leadership – Seven Mistakes to Avoid in your Compliance Program

Hardin is pleased to share this recent contribution to the May 2020 issue of the Investment Adviser Association’s (IAA) Compliance Corner.

In Seven Mistakes to Avoid in Your Compliance ProgramJaqueline M. Hummel calls out top adviser compliance traps.  Ms. Hummel then shows how Chief Compliance Officers can engage everyone in the firm, from their most experienced compliance experts to non-compliance colleagues, to avoid them.  As all thoughtful compliance professionals know, compliance ultimately is everyone’s responsibility.

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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 www.hardincompliance.com for more information.

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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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