SEC Compliance Consultants & Services We Offer
From complete mock examinations to creating individual service plans, we have you covered.
ANNUAL COMPLIANCE REVIEW
Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.
MOCK SEC EXAMINATION
Review of documentation, interviews with key personnel, on-site examination, overview of findings, and six months unlimited consulting.
NEW ADVISER SETUP
Filing of ADV Part 1, review of new adviser exam request letter, and development of ADV Part 2, Code of Ethics and Policies and Procedures.
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By: Jaqueline M. Hummel, Managing Director Hardin Compliance Consulting LLC May 12, 2015 At the end of April, many private fund managers considered many of their regulatory burdens met, including filing the annual amendment to Form ADV and Form … Read More ›
The Securities and Exchange Commission announced the schedule for regional Compliance Outreach Program seminars for Investment Adviser and Investment Company Senior Officers. The seminars are sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and … Read More ›