Hardin Compliance LLC. A Full-Service Compliance Consulting Firm

By: Hardin Compliance  05/12/2011
Keywords: Compliance Program, Investment Adviser, Regulatory Filings

 



Choose the service that is best suited for your business.
  • SEC and State Investment Adviser registration for the firm and its investment advisory representatives
  • Initial preparation and filing of Form ADV Parts I and II, along with annual or as needed amendments via the IARD system
  • Annual firm renewal via the IARD system
  • Assistance in developing the firm's Risk Assessment
  • Analysis of potential conflicts of interest and risk management issues
  • Development of customized Compliance Policies and Procedures, Code of Ethics and Business Continuity/Disaster Recovery Plan
  • GAP Analyses of existing Compliance Policies and Procedures and Form ADV Parts I and II
  • Review of firm advertisements, sales literature and marketing materials
  • Development of a comprehensive, customized Compliance Program
  • Forensic testing of Compliance Policies and Procedures as part of the Annual Review of Compliance
  • Drafting of Annual Report of Compliance upon completion of annual testing and review
  • Training and development of Compliance Policies and Procedures, Code of Ethics, Regulatory requirements
  • Anti-money laundering audits
  • Mock SEC exams
  • SEC inspection support
  • Best execution reviews and analysis
  • Ongoing review of employee and proprietary trading activity
  • Sub-adviser due diligence reviews
  • Assistance with oversight of Third Party Service Providers
  • Other regulatory filings (i.e., Form 13D, 13G, 13F, SH)
  • Expert witness services
  • Correspondence with regulatory agencies as necessary
  • Assistance with the FINRA New Membership Application process (obtain entitlements to WebCRD system, prepare electronic Form NMA, review firm's business plan, submission of Forms BD and U4; handle SEC and state registration for the firm and all registered representatives, prepare Executive Management for pre-membership interview)
  • Assistance with initial six month FINRA new member review
  • Assistance with FINRA Examinations
  • Assistance in developing the firm's Risk Assessment
  • Analysis of potential conflicts of interest and risk management issues
  • Development of customized Written Supervisory Procedures, Firm Element Continuing Education Plans, BSA Plans and Anti-Money Laundering Program
  • Review regulatory developments and determine the impact to all clients
  • Assist in the modification or creation of firm and supervisory procedures
  • Perform independent audit of the client's anti-money laundering program
  • Assistance with the ongoing licensing and registration of the client and its registered representatives
  • Review of firm advertisements, sales literature and marketing materials
  • Development of a comprehensive, customized Compliance Program
  • Provide training on compliance related topics as per client Firm Element Continuing Education Plan
  • Draft and submit regulatory filings (FINRA, MSRB, SEC, State Regulatory Authorities)
  • Expert witness services
  • Correspondence with regulatory agencies as necessary
  • SEC and State Investment Adviser registration for the firm and its representatives
  • Initial preparation and filing of Form ADV Parts I and II, along with annual or as needed amendments via the IARD system
  • Annual firm renewal via the IARD system
  • Assistance in developing the firm's Risk Assessment
  • Analysis of potential conflicts of interest and risk management issues
  • Development of customized Compliance Policies and Procedures, Code of Ethics and Business Continuity/Disaster Recovery Plan
  • GAP Analyses of existing Compliance Policies and Procedures and Form ADV Parts I and II
  • Review of firm advertisements, sales literature and marketing materials
  • Development of a comprehensive, customized Compliance Program
  • Forensic testing of Compliance Policies and Procedures as part of the Annual Review of Compliance
  • Drafting of Annual Report of Compliance upon completion of annual testing and review
  • Training and development of Compliance Policies and Procedures, Code of Ethics, Regulatory requirements
  • Anti-money laundering audits
  • Mock SEC exams
  • Sub-adviser due diligence review
  • Assistance with oversight of Third Party Service Providers
  • Other regulatory filings (i.e., Form D, 13D, 13G, 13F, SH)
  • Expert witness services
  • Correspondence with regulatory agencies as necessary
  • Maintenance and preparation of investment company registration statements and other regulatory filings
  • Organization of new investment companies with the SEC
  • Form of entity organization and jurisdiction analysis
  • Comprehensive SEC Regulatory Form check of various investment company filings including, but not limited to prospectuses, SAIs, portfolio holdings reports and proxies
  • Development of a comprehensive, customized Compliance Program
  • Review of firm advertisements, sales literature and marketing materials
  • Assistance in developing the firm's Risk Assessment
  • Analysis of potential conflicts of interest and risk management issues
  • GAP Analyses of existing Compliance Policies and Procedures
  • Forensic testing of Compliance Policies and Procedures
  • Training and development of Compliance Policies and Procedures, Code of Ethics, Fair Valuation, Regulatory requirements
  • 38a-1 Policy and Procedure Reviews and Reports
  • Adviser and/or Sub-Adviser Due Diligence Reviews
  • Assist with oversight of Third Party Service Providers
  • Mock SEC exams
  • SEC inspection support
  • Expert witness services
  • Correspondence with regulatory agencies as necessary

Fiduciary Compliance Reviews:
  • Compliance Policies and Procedures
  • Conflicts of Interest
  • Disclosure Documents
  • Agreements
  • Investment Processes
  • Compensation Arrangements
ERISA Plan Compliance Reviews:
  • Plan Documents
  • Plan Reporting
  • Related Party Transactions
  • Participating Loans
  • Reporting and Disclosure
  • Liability Protection
  • 404C Compliance
  • Non-Discrimination Testing


 
© 2011 Hardin Compliance LLC. All Rights Reserved.   |     |  
 
 

Keywords: Compliance Program, Investment Adviser, Regulatory Filings