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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 Program Rule, Rule 206(4)-7 | Compliance Programs | Examinations and Audits | Records Management | Testing

SEC Exam Impact: Helping Firm Management to Understand the “Value Add” of a Well-Run Compliance Program

By: Jaqueline M. Hummel, IACCP®, AIFA® Managing Director, Hardin Compliance Consulting May 12, 2014 The SEC recently announced an initiative to examine registered investment advisers who have never been subjected…