Compliance Program Rule, Rule 206(4)-7 | Examinations and Audits | Hardin News | Training

Jaqueline Hummel to speak at Cincinnati Compliance Roundtable on SEC Exams

SEC Examinations:  Comparing Exam Priorities to Results

Jaqueline Hummel, Partner and Managing Director of Hardin Compliance Consulting will be providing an insider’s view from a consulting firm’s experience during 32 SEC investment advisers’ exams.  The presentation will take place on Tuesday October 24, 2017, from 4:00 – 5:30p.m. at Fort Washington Investment Advisors, Inc., 303 Broadway, Suite 1200, Cincinnati, OH 45207

Jaqi will discuss real-life examples of common deficiencies cited during the exams, including:

  • Custody Rule Violations
  • Form ADV and Disclosure Issues
  • Code of Ethics Rule Violations
  • Compliance Rule Issues
  • Fees and Billing Procedures
  •  Advertising and Marketing Issues
  • Best Execution Concerns
  • Department of Labor Fiduciary Rule
  • GIPS verification and process (group discussion time permitting)

Compliance Officers in the Cincinnati area are welcome to attend.  Please contact Timothy J. Amyot, Compliance Officer at