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Risk Alert Review: Core Areas and Document Requests
By Peter R. Guarino On November 4, 2024, the Division of Examinations (Exams) issued a Risk Alert titled Review of Certain Core Areas and...
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Oct 212 min read
SEC 2025 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2025 Examination Priorities. The Division publishes...
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Sep 32 min read
SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
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Aug 292 min read
FINCEN AML Rule Adopted
On Wednesday, August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) issued a final rule to help investment advisers...
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Jul 291 min read
PRIVATE FUNDS RULE UPDATE
Private Fund Rule Update
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Jun 62 min read
Broker Dealer Examination Risk Alert
The Division of Examinations (Exams) published a Risk Alert (attached) to help broker-dealers prepare for an examination. The Risk Alert...
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Jun 61 min read
Private Fund Adviser Rules Vacated By the Fifth Circuit
Earlier today, United States Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) fully vacated the Private Fund Adviser Rules...
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Jun 53 min read
FinCEN Anti-Money Laundering/Countering the Financing of Terrorism Program Proposal
After more than 20 years and multiple iterations (proposals in 2015 and 2003 which were subsequently withdrawn), on February 15, 2024,...
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Nov 18, 20232 min read
SEC Enforcement Means Business. What it Means for Your Compliance Program
The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...
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Oct 27, 20222 min read
Proposed Outsourcing Rule Could Have Significant Impact
The Securities and Exchange Commission on Wednesday advanced by a 3-2 vote a new rule proposal (new rule 206(4)-11 and rule amendments...
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Oct 27, 20222 min read
Compliance4's CEO named in the Top 50 Women CEOs for 2022
We are pleased to announce that our Chief Executive Officer, Elizabeth Hamilton-Guarino, 53, has been named a Top 50 Women CEO of 2022....
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Feb 10, 20202 min read
Compliance4's Peter R. Guarino joins NSCP
We are pleased to announce we are now a member of the National Society of Compliance Professionals ("NSCP"). Our President and CCO,...
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Nov 11, 20193 min read
Elizabeth Hamilton Guarino awarded the ‘Excellence in Finance Leaders’ award at FiNext Conference
Compliance4's Elizabeth Hamilton Guarino awarded the ‘Excellence in Finance Leaders’ award at FiNext Conference.
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Nov 6, 20193 min read
SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.
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Oct 30, 20191 min read
SEC Advertising Rule Proposal Announced
SEC Advertising Proposal Announced
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Jun 5, 20193 min read
Keep Current with Compliance - 4 Topics for June 2019
Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.
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Dec 18, 20182 min read
How Not to Get Zapped by Electronic Communications
On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...
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Sep 18, 20185 min read
IA Watch: Exam roundup: Hot Issues OCIE’s Pursuing with Your Peers
Compliance4 president and Chief Compliance Officer, Peter R. Guarino, was quoted in the September 17, 2018 edition of IA Watch, the...
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Jul 24, 20185 min read
It's Not Over Until It's Over - Liquidity Risk Classification Outreach Continues!
On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The...
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Jul 18, 20181 min read
Compliance4 Podcast - Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for F
Please welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast. Susan and Tamara will join us for an hour to talk about...
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