Preparing for the 2016 Annual Review

An adviser’s risk assessment should reflect changes to the firm, changes to the regulatory environment, and the results of the testing for the previous year. As the New Year approaches, it is important to keep in mind the hot topics … Read More ›

Simons Says: 2015 Year-End Review

2015 has been a very interesting year for Compliance folks.  Some of the topics receiving big play this past year included: The Department of Labor’s Fiduciary Rule; The SEC’s emphasis on cybersecurity; Financial Crimes Enforcement Network (“FinCEN”) proposed AML Rule … Read More ›

Write the Best Compliance Manual Ever!

Jaqueline M. Hummel, IACCP®, AIFA® Managing Director, Hardin Compliance Consulting December 23, 2015   Cover the Basics An adviser’s compliance manual should cover the ten areas recommended in the SEC’s final release of the Compliance Program Rule.[6] These include policies … Read More ›

Changes to SEC Compliance Reporting Requirements for 2016!!

Privacy Notice… No Changes? No Need to Send! Recently, the President signed into law the “highway bill.” Within it, “Title LXXV – Eliminate Privacy Notice Confusion” states: “SEC. 75001. EXCEPTION TO ANNUAL PRIVACY NOTICE REQUIREMENT UNDER THE GRAMM-LEACH-BLILEY ACT. Section … Read More ›