Tag: Compliance Program
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…