The 2020 IAA Investment Adviser Compliance Conference

03/05/20 – 03/06/20 @ 7:30 am – 7:00 pm – Matthew Hardin, President & CEO, David Rishel, Partner and Chief Operating Officer, and Jaqueline Hummel, Partner and Managing Director, will be attending the 2020 IAA Investment Adviser Compliance Conference at the JW Marriott in Washington, DC, from March 5-6, 2020.  With an agenda that is packed with timely and diverse topics, be sure to attend the Compliance […]

Webinar: Speaking from the Other Side – Former State Securities Regulators Speak Up About How the Current State and NASAA Initiatives Affect Federally Covered Registered Investment Advisers

12/03/19 @ 2:00 pm – Don’t miss this Webinar on Tuesday, December 3rd from 2 p.m.–3 p.m. EST. See event details. Four friends and former state securities colleagues who met while working together through NASAA discuss current state law initiatives. The conversation will focus on what you need to know for your practice or in-house compliance work. Topics will include: […]

The 2019 Ohio Securities Conference

10/25/19 @ 8:00 am – 4:00 pm – “What Keeps You Up at Night” The Ohio Division of Securities and the University of Toledo College of Law are partnering to provide the latest issues affecting the Securities Industry. Carolyn and Jaqi would like to greet and have dinner with anyone who might be attending. They will be there the evening of the 24th […]

NSCP National Conference

10/21/19 – 10/23/19 @ 12:00 am – David Rishel, Partner and Chief Operating Officer, and Cara Sharbaugh, Compliance Consultant, will be attending the 2019 National Conference of the National Society of Compliance Professionals at The Hilton in Baltimore, Maryland from October 21-23. Please feel free to say hello. Hardin is sponsoring an afternoon snack break on Tuesday, October 21. Email Cara at […]

Financial Markets Association Conference

05/01/19 – 05/03/19 @ All Day – Our President and CEO, Matt Hardin, is speaking at this conference. This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured for peer-to-peer learning. Open discussion is encouraged […]

IA Watch*

04/16/19 @ 2:00 pm – 3:00 pm – One of our Managing Directors, Jill Grenda, spoke on a webinar panel with the theme, Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs. We will link to the recorded webinar once available.