About the Compliance Navigator® Program
Hardin Compliance Consulting LLC’s Compliance Navigator® was created by our expert consulting team for advisers and broker-dealers to implement their compliance program. It is continuously updated based on the regulatory environment and the experience of the team of consultants at Hardin. The Hardin Compliance Consulting team consists of former regulatory and in-house securities attorneys, senior compliance managers, compliance professional and senior audit professionals from several prominent financial institutions.
Watch our Compliance Navigator® videos for an overview of what our program can do for you!
Compliance Navigator®, powered by BasisCode, enables subscribers to create a custom compliance program with tasks created from a variety of sources, including:
- SEC and FINRA regulations
- SEC No-Action Letters
- Regulatory Risk Alerts
- Guidance issued by the SEC and FINRA
- Enforcement Actions
- Personal Regulatory Exam Experience
- Industry Best Practices