AdminFeb 102 minCompliance4's Peter R. Guarino joins NSCPWe are pleased to announce we are now a member of the National Society of Compliance Professionals ("NSCP"). Our President and CCO, Pete...
AdminNov 11, 20193 minElizabeth 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.
AdminNov 6, 20193 minSEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment AdvisersSEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.
AdminJun 5, 20193 minKeep Current with Compliance - 4 Topics for June 2019Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.
AdminDec 18, 20182 minHow Not to Get Zapped by Electronic CommunicationsOn Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages advise...
AdminSep 18, 20185 minIA Watch: Exam roundup: Hot Issues OCIE’s Pursuing with Your PeersCompliance4 president and Chief Compliance Officer, Peter R. Guarino, was quoted in the September 17, 2018 edition of IA Watch, the premi...
AdminJul 24, 20185 minIt'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 r...
AdminJul 18, 20181 minCompliance4 Podcast - Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for FPlease welcome ICI's Susan Olson and Tamara Salmon to The Compliance4 Podcast. Susan and Tamara will join us for an hour to talk about t...
AdminMay 4, 20181 minCompliance4 Podcast - David Lui - Compliance Controls for Advisers & Other IndustriesThe Compliance4 Podcast is pleased to welcome David Lui to our show! Our episode aired live on Blogtalkradio and is now available on free...
AdminApr 27, 20182 minCompliance Check-UpCompliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, fund bo...
AdminMar 19, 20183 minSEC is Listening to the Mutual Fund Industry and Requests CommentsOn Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is ...
AdminFeb 23, 20182 minSEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim RuleThe SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and Fo...
AdminFeb 16, 20182 minSEC to Hold National Compliance Outreach SeminarPress Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment Compan...
AdminFeb 16, 20181 minSEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under ConsiderationFrom: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME A...
AdminFeb 11, 20188 minSocial Media Perspectives - Build a Network of TrustSocial Media is an extension of in-person marketing, meetings and more. From recommending a good book - to a business meeting - to shar...
AdminFeb 11, 20181 minCompliance4 Podcast - Dave Carson - Ultimus Fund SolutionsPlease welcome Dave Carson as a guest the Compliance4 Podcast, airing February 20, 2018. To listen to the show live, call us at (516) 53...
AdminJan 22, 20183 minCompliance4 Podcast - Norm ChampPlease welcome Norm Champ as our first guest on the Compliance4 Podcast, airing February 1, 2018. To listen to the show live, call us at...
AdminJan 22, 20184 minWelcome to the Compliance4 BlogWelcome to Compliance4. We are committed to excellence. At Compliance4, we understand that regulatory oversight and compliance are not alw...
