Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: Client Relationships Go Virtual, but State Regulators Remain Focused on Where RIA Clients Live, by Partner and Managing Director, Jaqueline Hummel.
Ms. Hummel addresses a timely compliance challenge now faced by firms with investment adviser representatives (IARs) working from a state that differs from their IAR registration and with clients that may have relocated. As an increasing number of states expire their temporary pandemic-related relief of state registration requirements, leverage Jaqi’s practical tips to analyze your firm’s activities and ensure you have the proper state registrations and notice filings in place.
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