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We offer expert regulatory compliance services and solutions to investment advisers, broker-dealers, private funds and investment companies.

Our expert consulting team consists of former in-house securities attorneys, senior compliance managers, compliance professionals and senior audit professionals from prominent financial institutions.

  We have the relevant experience to help our Clients build and maintain quality personalized compliance programs based on strong processes and a culture of compliance.

We distinguish ourselves from other consulting firms by providing hands-on, personalized regulatory compliance solutions.

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Hardin Compliance Consulting LLC
290 Northgate Drive
Suite 100
Warrendale, PA 15086
Office Phone:  724-935-6770
Office Fax:      724-935-6790

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Legislative and Regulatory Update for Annual Review 2014

The SEC has not adopted any new rules for investment advisers or private funds in 2014, but has been sending strong messages to the industry through its “broken windows” approach to enforcement by targeting relatively minor infractions, as well as through guidance statements, risk alerts and sweep examinations.  In addition to U.S. regulation, there have also been changes to Read More...

Compliance Horror Stories - A 3-Part Series

In observance of the ten-year anniversary of the Compliance Program Rule (Rule 206(4)-7 of the Advisers Act) which became effective on October 5, 2004, a three-part series to discuss the SEC’s use of this enforcement tool is presented by Jacqueline M. Hummel, Managing Director of Hardin Compliance Consulting, LLC.  The first part discusses the early settlement actions, where Read More...

Visit Hardin Compliance InformerŪ to view current activity of new SEC regulations

 
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