Tag: ERISA
Disclosures | DOL | DOL Fiduciary Rule | ERISA | Fiduciary
Five Essential Steps to Prepare for the Fiduciary Rule June 9 Deadline Updated
This article was originally posted on May 16, 2017, and has since been revised in light of the DOL FAQs 5-2017. Revisions are indicated by strikethrough (for deletions) and in…
DOL | ERISA | Fiduciary
DOL Fiduciary Rule Delayed until June 9; Fewer Compliance Requirements in Interim
The Department of Labor’s 60-day delay to the new fiduciary rule, (f/k/a the “Conflict of Interest Rule”) has been finalized, changing the effective date from April 10 until June 9,…
Best Execution | Compliance Programs | Department of Labor | ERISA | Performance Advertising and Reporting | Private Investment Funds | Regulatory Filings | SEC Risk Alert | Whistleblower
Key Takeaways for Updating your Compliance Program in 2017: Investment Advisers, Hedge Funds and Private Equity Funds
Based on the regulatory developments from 2016 (see our blog post), here’s our suggestions for updates for your compliance manual for 2017. The Department of Labor’s (“DOL”) Conflict of Interest…
Compliance Programs | Department of Labor | Fiduciary | Investment Advisers Act | Private Investment Funds
DOL Crack Down, SEC Smackdown and Whistleblowers Double Down: 2016 Regulatory Review
The SEC was especially busy in 2016, bringing a record number of enforcement cases, churning out guidance and risk alerts, and issuing new rules and amendments. In reviewing the past…
Department of Labor | DOL Fiduciary Rule | ERISA | Fiduciary
DOL Conflict of Interest Rule and its Impact on Investment Advisers
DOL Conflict of Interest Rule and its Impact on Investment Advisers By: Jaqueline M. Hummel, Managing Director, IACCP, AIFA Hardin Compliance Consulting LLC and Elizabeth L. Cope, Managing Member, CPA, CSCP,…
Department of Labor | DOL Fiduciary Rule | ERISA | Fiduciary
DOL Conflict of Interest Rule: Impact on Investment Advisers Webinar
Focus 1 Associates and Hardin Compliance Consulting presented a webinar covering what investment advisers need to know about DOL’s new “Conflict of Interest” Rule (formerly known as the “Fiduciary Rule”)…
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…
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…