Tag: Form ADV
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…
Best Execution | Conflicts of Interest | Mutual Funds
Why the SEC is Obsessed with Mutual Fund Share Class Selection and Disclosure (and why you should be too)
On April 6, 2018, the SEC released three settlement orders with investment advisers because they “failed to disclose conflicts of interest and violated their duty to seek best execution by…
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…
Disclosures | Form ADV | Investment Advisers Act
Amendments to Form ADV Part 1A for 2017
The SEC issued its Final Rule adopting several changes to Part 1A of Form ADV in August 2016. (See our blog post.) The amendments to the Form ADV focus on…
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…
Conflicts of Interest | Disclosures | Form ADV
SEC Imposes Strict Liability Standard on Advisers, Dismissing Due Care Defense
The first week of November was a time for surprises, but most surprising to me was the SEC’s decision in In re The Robare Group, Ltd. Back in 2015, I…
Hardin News | Regulatory Filings
Hardin Compliance mentioned in Wealthmanagement.com Article on Changes to Form ADV
Wealthmanagement.com recently published “New SEC Rules Increase Scrutiny of Outside Compliance Chiefs. ” The article discusses the latest Form ADV amendments, including the requirement to disclose whether investment advisers outsource their…
Form ADV | Regulatory Filings
Form ADV Amendments Finalized: SEC Wants Data on SMAs, Social Media and CCOs
By Jaqueline M. Hummel, IACCP® Managing Director Hardin Compliance Consulting LLC August 29, 2016 On August 25, 2016, the SEC finalized its amendments to Form ADV and the books and…
Compliance Program Rule, Rule 206(4)-7 | Form ADV
SEC Schools Advisory Firm on Compliance Obligations
By Chelsea Bosiljevac, Compliance Associate May 11, 2016 The SEC recently issued a settlement order against an SEC-registered investment adviser and its CEO/CCO, demonstrating a continued focus on the SEC’s…
Compliance Program Rule, Rule 206(4)-7 | Custody | Form ADV
Owner of Formerly Registered Investment Adviser Settles with SEC Regarding Custody Rule, Compliance Rule, and Form ADV Violations
By: Kathleen A. Olesinski, Senior Compliance Consultant May 11, 2016 In a recent administrative proceeding, a fund manager’s principal, who also served as the Chief Compliance Officer, was barred from…