Tag: Training
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 | Training
7 Ugly Truths About Compliance: a Primer for new Chief Compliance Officers
By: Jaqueline M. Hummel, Managing Director February 11, 2016 Many compliance officers live in hope that if they ramp up their persuasive skills, engage employees with spectacular training presentations, and…
Training
Are incentives more effective than training for compliance?
By: Jaqueline M. Hummel Managing Director, Hardin Compliance Consulting LLC July 17, 2014 I recently listened to a podcast from Freakonomics radio, called Why You should Bribe Your Kids. In…