Jaqueline M. Hummel, Esq., IACCP
Jaqueline M. Hummel, Esq., IACCP®, is a Partner and Managing Director at Hardin Compliance Consulting LLC. She is a securities attorney and regulatory compliance consultant with extensive experience as an in-house attorney working in the areas of investment adviser, broker-dealer, and investment company regulation and compliance. Jaqi counsels clients on a wide variety of investment management issues, including risk management, compliance with SEC regulations, and evaluation of compliance programs. She also provides advice to registered investment advisers regarding SEC examinations. Jaqi performs due diligence, compliance reviews, and mock SEC examinations for registered investment advisers, private funds and registered investment companies. Jaqi has been recognized by JD Supra as among the top ten authors writing on compliance issues in 2018 and 2019.
Before joining Hardin Compliance Consulting LLC, Jaqi held the position of Chief Compliance Officer for PNC Capital Advisors and PNC Realty Investors, investment adviser affiliates of PNC Financial Services Group, Inc. She also served as in-house counsel for National City Corporation’s investment adviser and broker-dealer affiliates where her responsibilities included being the CCO for Allegiant Asset Management Company. Her prior experience also includes thirteen years as in-house counsel in the financial services industry. Jaqi served many years as in-house counsel for MassMutual Financial Group, a diversified financial services organization, where she advised the investment management division including affiliated registered investment advisers and registered investment companies.
Jaqi is licensed to practice law in Ohio and Massachusetts. She holds the designation of Investment Adviser Certified Compliance Professional from National Regulatory Services, Inc. She received a bachelor of arts from the University of Wisconsin-Madison in 1986 and a juris doctor from Emory University School of Law in 1989.Back to Team Page