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…

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…