Tag: Deadlines
Disclosures | Form ADV | Regulatory Filings
How I Learned to Stop Worrying and Learned to Love Form ADV
After last year’s material amendments to the Form ADV, investment advisers can breathe a sigh of relief; the SEC made no changes to the form this year. That said, completing…
Anti-Money Laundering | Broker Dealer | Examinations and Audits | FINRA | Regulatory Filings
Broker-Dealer 2018 Regulatory Year in Review
Photo by rawpixel on Unsplash We’ve put together a list of rules, enforcement actions and regulatory developments for broker-dealers for 2018. We recommend that broker-dealers use this review as a resource when…
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 Programs | FINRA | FINRA Rules | Regulatory Filings
Broker Dealer Compliance “To Do” List for 2019
Photo by Darkmoon 1968 on Pixabay Updated January 10, 2019 Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers. This list is not intended to be exhaustive, but…
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…
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…
Compliance Programs | Form ADV | Investment Advisers Act | Investment Company Act | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
Investment Advisers Compliance “To Do” list for 2016 SEC Regulatory Deadlines for Investment Advisers
Updated February 2016 By: Jaqueline M. Hummel, Managing Director Samuel W. Pangas, Compliance Associate With the help of Sam Pangas, my compliance colleague at Hardin Compliance Consulting, we have compiled…