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Jaqueline Hummel on Muck Rack

Jaqueline Hummel

  • Independent Compliance Consultant, Freelance
Cleveland
As seen in: JD Supra
Covers:  SEC regulatory compliance, investment adviser legal and compliance issues, SEC examinations, compliance programs, broker-dealer compliance,
compliance consultant, registered investment adviser compliance, swimmer, cyclist, foodie

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Jaqueline Hummel’s Biography

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Jaqueline M. Hummel, Esq., IACCP®, is a Partner and Managing Director at Hardin Compliance Consulting LLC. She is a securities attorney and regulatory compliance consultant with extensive experience as an in-house attorney working in the areas of investment adviser, broker-dealer, and investment company regulation and compliance. Ms. Hummel counsels clients on a wide variety of investment management issues, including risk management, compliance with SEC regulations, and evaluation of compliance…

Jaqueline Hummel’s Journalist Portfolio

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Incentives and Compliance Training | Harding Compliance Consulting LLC

Incentives and Compliance Training | Harding Compliance Consulting LLC

By: Jaqueline M. Hummel Managing Director, Hardin Compliance Consulting LLC July 17, 2014 I recently listened…

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Hedge Funds, Investment Advisers Act | Blog | Compliance Consulting

Hedge Funds, Investment Advisers Act | Blog | Compliance Consulting

July 16, 2014 By Jaqueline M. Hummel, IACCP®, AIFA® Managing Director For many hedge fund and private equity …

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Regulatory Compliance Consulting | Thinking Like a Lawyer

Regulatory Compliance Consulting | Thinking Like a Lawyer

By: Jaqueline M. Hummel August 12, 2014 Managing Director, Hardin Compliance Consulting LLC There's an old ad…

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7 Ugly Truths About Compliance | Hardin Compliance Consulting LLC

7 Ugly Truths About Compliance | Hardin Compliance Consulting LLC

February 11, 2016 Many compliance officers live in hope that if they ramp up their persuasive skills, engage …

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SEC Examinations Priorities versus Results

SEC Examinations Priorities versus Results

Note: This article first appeared in the Financial Markets Association Markets Solutions Newsletter, Septembe…

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Ten Reasons to Hire an RIA Compliance Consulting Firm - Hardin Compliance LLC.

Ten Reasons to Hire an RIA Compliance Consulting Firm - Hardin Compliance LLC.

There are times when it makes sense to hire an expert. Securities regulations are complicated and failure to …

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Articles

7 Ugly Truths About Compliance: A Primer for New Chief Compliance Officers | JD Supra

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By Jaqueline Hummel
| JD Supra
Many compliance officers live in hope that if they ramp up their persuasive skills, engage employees with spectacular training presentations, and provide succinct and prompt advice, they will receive the respect and recognition that they deserve. Unfortunately, despite all the best efforts, compliance officers will struggle to be heard.
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January 2025 Regulatory Roundup | JD Supra

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By Jaqueline Hummel
| JD Supra
Trump Picks New SEC Head, SEC Enforcement Starts Strong in 2025, and Latest Lessons from EXAMS: Details Matter and Duty of Care Fails Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the appointment of the SEC’s acting Chair, Mark Uyeda. Next, we recap the SEC’s report on its aggressive enforcement efforts in the first quarter of 2025.
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Lessons From 2024: Tips for Private Fund Managers | JD Supra

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By Jaqueline Hummel
| JD Supra
As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025. Private Fund Advisers Should Expect Continued SEC Exam Scrutiny It should not be any surprise that the SEC has, and will continue, to focus on private funds (check out our article Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About for more detail).
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Interview

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What was your first job as a journalist?

I wrote for the Badger Herald at the University of Wisconsin.

Have you ever used a typewriter?

Yes. I learned how to type on a typewriter.

How is social media changing news?

Social media allows everyone with access to the internet to have their say. Providing information has never been easier.

Awards

JD Supra Readers' Choice Top Author 2019

2019 - compliance issues

JD Supra’s Readers’ Choice Awards recognize top authors and firms who were read by C-suite executives, in-house counsel, media, and other professionals across the JD Supra platform during 2018. The awards recognize: (a) authors for their visibility and thought leadership covering 26 key, cross-industry topics (10 authors per category) (b) firms for their visibility and engagement in the 26 topics covered by the awards (one firm per category). JD Supra editors chose the 26 main topics covered in this year’s Readers’ Choice Awards for their timeliness as well as their proven, ongoing importance. In each category, ten authors and one firm were recognized for consistently highest readership and engagement within that category for all of 2018. In total, across all categories, JD Supra recognized 228 authors selected from over 50,000 who publish their work on its platform.

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