Hardin News

Matthew Hardin to speak at the FMA Securities Compliance Seminar

FMA Securities Compliance Seminar
April 26 – 28, 2017 

Matthew S. Hardin, CEO of Hardin Compliance Consulting will be participating in the FMA Securities Compliance Seminar.  Hardin Compliance Consulting is a sponsor of the seminar.  Mr. Hardin will be speaking in the following sessions:

Pre-Seminar Interactive Workshop:  What Are the Nightmares Keeping You Awake at Night?
Wednesday, April 26 (8:30am – 10:45am)

  • Matthew S. Hardin, CEO, Hardin Compliance Consulting
  • Joy L. Aldridge, Owner/Consultant, Compliance Counsel LLC
  • Louis Dempsey, CRCP, CSCP, CAMS, President, Renaissance Regulatory Services, Inc.

This workshop presents a unique opportunity to network with other compliance and audit professionals and discuss the matters that most concern you.  A myriad of topics will be discussed based on the needs and requests of the participants.  This session is designed for persons new to the securities industry as well as seasoned compliance and audit personnel.  This is your chance to get answers to specific questions about your compliance and audit programs and to come away with new ideas and resources for making your job more manageable.

CCO Liability:  Defining the True Standard of Care
Thursday, April 27 (3:00pm – 4:15pm)

  • Matthew S. Hardin, CEO, Hardin Compliance Consulting (Moderator and Speaker)
  • Joy L. Aldridge, Owner/Consultant, Compliance Counsel LLC
  • Roomy Khan, President, Roomyk, LLC
  • Diane P. Novak, Owner and Principal, DPN Consulting Services

Topics of Discussion include:

  • Fostering integrity
  • Building an effective compliance program
  • Preventing violations of law
  • Conducting a rules inventory
  • Molding Tone at the Top
  • Instilling a Culture of Compliance
  • Building and maintaining competency
  • Understanding the regulatory perspective