Partner with Hardin Compliance
We’re Focused on Client Relationships
Typically, compliance consultants talk, and you listen. At Hardin, we listen first and propose carefully considered solutions second. We’re not here to waste your time; our goal is to assure that you meet all your compliance requirements successfully.
We do this by gaining a clear understanding of your business and its needs. Then we recommend a timely, effective and affordable response. Hardin Compliance is always in your corner.
- Investment Advisor Registration (SEC and State) and Updating Amendments
- Broker Dealer Registration and Form BD Filing
- Dual Registrant Compliance Programs
- Compliance Manual (Policies and Procedures)
- GAP Analysis
- Annual Review of Compliance Program
- Anti-money Laundering (AML) Audit
- RIA Mock SEC Exams
- Blue Sky Filing Services
- Section 13F and Section 13H Filings
- Regulatory Exam Support (FINRA, SEC, state regulators)
- Risk Assessment
- RIA/Broker-Dealer Compliance Training
- Code of Ethics
- Advertising/Marketing Review
- Business Continuity Plan
- Licensing and registration for firms, investment adviser representatives and registered representatives
- Prepare regulatory filings (SEC, FINRA, MSRB, CFTC and state regulatory authorities)
- Commodity Pool Operators and Commodity Trading Advisors Services
If you want more information, contact us for your regulatory compliance needs or questions.
Choose a compliance solution that fits your needs.
Basic Compliance Support
Basic service is designed for the Chief Compliance Officer (CCO) that needs resources and tools to manage the firm’s compliance program, including ongoing consulting, a compliance testing calendar and regulatory updates. This service includes unrestricted access to experienced compliance professionals for advice on how to best implement your customized compliance program. Your firm will be assigned a team of compliance consultants that will provide technical compliance expertise, insight into industry best practices and the latest views from regulators.
Signature Compliance Support
Signature service is designed to allow your firm to concentrate on what it does best by reducing your compliance burden. Hardin will assign a team of consultants that will work with your CCO to manage the firm’s compliance program. In addition to the Basic services above, Hardin will conduct all required testing and monitoring, therefore reducing your firm’s need for internal compliance staff. This service includes unrestricted access to experienced compliance consultants.
Executive Compliance Support
Executive service provides your firm with an independent and fully outsourced CCO. A qualified compliance consultant from Hardin will become the CCO for your firm and will assume the full risk and responsibility of the position. The CCO and Hardin’s team of experienced compliance consultants will work with your senior management to administer the firm’s compliance program and conduct all required compliance testing and monitoring.