Regulatory Compliance Services
We Do the Work, You Enjoy Peace-of-Mind
At Hardin Compliance, we are client-focused. Where a typical consultant brings expertise and protocols, we bring a partnering approach backed by senior compliance managers, securities attorneys, and audit professionals, often with backgrounds at prominent financial institutions.
We are client focused, and have your goals in mind.
Our goal is compliance plus. With our solutions, we work to build ongoing compliance into your operational culture. Working together, we develop and implement effective, streamlined compliance operations for your business.
Our clients vary in size, geography and need, learn more.
Navigate your way through Hardin’s Compliance Program offering an optimal solution for implementing and testing regulatory compliance policies and procedures. The program covers Risk Assessment, Code of Ethics/Insider Trading, Conflicts of Interest, Regulatory Filings, Books & Records, Custody, Suitability, Trading Practices, Best Execution/Soft Dollars, Valuation, Proxies, Marketing, Solicitation, Business Continuity and Anti-Money Laundering.
Customized for You
Hardin uses a comprehensive, detailed and customized program to perform testing of compliance policies and procedures. We have compiled more than 170 separate tasks to create a complete compliance program, based on SEC and FINRA laws and regulations, interpretations from regulators and industry best practices, called Compliance Navigator®. This comprehensive program is then customized for each client, based on your business model, corporate structure, investment practices, operations, client base, and any factors that could impact your regulatory requirements. We review your Form ADV, website, marketing materials, prior SEC examination results, compliance manual, and discuss your concerns, controls and potential regulatory risks. Our goal is to understand your firm and business thoroughly and then create a compliance program that fits your needs.
Experience That Counts
As you can see from our bios, most of our consultants have worked for other organizations in a legal, regulatory, audit or compliance capacity. Many of our consultants have been with Hardin for at least four years. With our varied client base, we gain experience quickly and have the luxury of seeing how many firms handle compliance issues, including SEC exams. So when we get asked how other firms handle an issue, we generally have an answer.
Your Personal Consulting Team
Hardin Compliance Consulting LLC was founded by Matt Hardin in 2006. Matt recognized the need for regulatory compliance services by smaller RIAs, private equity fund and hedge fund managers, and assembled a team of experienced compliance consultants to serve this market. The business has grown primarily through recommendations by clients, and each year we’ve added staff to meet the growing need for our services. We’ve found that the most efficient way to provide a continuous level of quality service is to assign a team of consultants to serve each client, so that someone is always available to answer questions and provide advice. We have developed standardized processes for performing compliance testing and monitoring so we can be sure that each client is receiving the same high level of service.
Process that Ensures Quality
We provide a consistent method for performing each task and train our consultants on our methodology to ensure that all clients receive high quality compliance services. We work together to develop standard operating procedures (“SOPs”), which are then incorporated into the compliance program. The SOPs are constantly evolving as we learn from our experiences with regulators and other clients.
A Wealth of Knowledge
Our expert consulting team consists of former in-house securities attorneys, senior compliance managers, compliance officers and senior audit professionals from prominent financial institutions. Because regulations are constantly changing, all of our consultants are required to take continuing education to keep up-to-date on regulatory issues, and many have achieved the designation of Investment Adviser Certified Compliance Professional (IACCP®), a program co-sponsored by National Regulatory Services (NRS™) and the Investment Adviser Association (IAA). Designees must have a thorough understanding of the Investment Advisers Act of 1940 and related state and federal regulations. Candidates for the IACCP program must have two years of relevant work experience, complete a rigorous curriculum, agree to comply with a code of ethics, and pass the IACCP certifying examination. To maintain the designation, designees must complete 12 hours of continuing education courses annually.
Leading Edge Technology
The Firm’s compliance program, Compliance Navigator®, uses a secure, redundant, web-based compliance system developed by Hardin Compliance and powered by BasisCode Compliance. Compliance Navigator provides centralized means of tracking, performing and documenting compliance tasks. It provides calendar-based reminders, checklists and alerts to make sure we complete testing and monitoring in a timely manner. The system securely archives testing documentation and provides a complete audit trail of performed tests.