Tag: Compliance Program
Best Execution | Cash Solicitation Rule | Compliance Programs | Conflicts of Interest | Cybersecurity | Examinations and Audits | Investment Advisers Act | Investment Company Act | Liquidity | Mutual Funds | Private Investment Funds | Share Class Selection Disclosure | Testing
Eleven Key Takeaways for Updating your Compliance Program in 2019: Investment Advisers, Mutual Funds, Hedge Funds and Private Equity Funds
Photo by NordWood Themes on Unsplash Cari Hopfensperger, Senior Compliance Consultant, co-wrote this article. Based on regulatory developments from 2018, here are our suggestions for updates to your compliance program for 2019. Conflict…
Best Execution | Cash Solicitation Rule | Chief Compliance Officer | Compliance Programs | Conflicts of Interest | Custody | Cybersecurity | Disclosures | Examinations and Audits | Mutual Funds | Private Equity Funds
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2018
Photo by Mark Duffel on Unsplash The SEC’s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. In reviewing the SEC’s activity over the past 12 months, I…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Investment Advisers Act | Regulatory Filings
Investment Adviser Compliance “To Do” List for 2019
Photo by Kyle Glenn on Unsplash Updated January 7, 2019 Hardin Compliance Consulting compiled a list of regulatory deadlines for investment advisers. This list is not intended to be exhaustive, but it should…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | Private Equity Funds | Private Investment Funds | Regulatory Filings
Investment Advisers Compliance “To Do” List for 2018
Updated May 19, 2018 Hardin Compliance Consulting has compiled a list of SEC regulatory requirements for investment advisers. This is not intended to be an exhaustive list, but it should…
Broker Dealer | Compliance Programs | FINRA Rules | Regulatory Filings
Broker-Dealer Compliance “To Do” List for 2018
1/16/2018 Customer Complaint Quarterly Statistical Summary: For complaints received during the 4th Quarter, 2017. FINRA Rule 4530 requires Firms to submit statistical and summary information regarding complaints received during the…
Chief Compliance Officer | Compliance Programs | Hardin Press Releases
Hardin Compliance Consulting Discusses Managing CCO Turnover in NSCP Article
Jaqueline Hummel, Managing Director and Partner at Hardin Compliance Consulting, discusses major risks when transitioning to a new Chief Compliance Officer. Check it out.
Compliance Programs | Investment Advisers Act | Regulatory Filings
Investment Advisers To-Do list for 2017
With the help of Andrea Bova and Jill Grenda, my compliance colleagues at Hardin Compliance Consulting, we have compiled a list of SEC regulatory requirements for investment advisers. This is…
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…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Conflicts of Interest | Examinations and Audits | Investment Advisers Act
Just in time for Halloween: Compliance Rule Horror Stories (Part 3 of a 3-part series)
October 30, 2014 Jaqueline M. Hummel Managing Director, Hardin Compliance Consulting, LLC In this final installment of a three-part series, the most recent cases involving violations of the Compliance Program…