The Securities and Exchange Commission (“SEC”) withdrew 14 proposed rules introduced between October 2020 and November 2023. Only one was...

By Peter R. Guarino On November 4, 2024, the Division of Examinations (Exams) issued a Risk Alert titled Review of Certain Core Areas and...

The Securities and Exchange Commission’s Division of Examinations today released its 2025 Examination Priorities.  The Division publishes...

SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs

On Wednesday, August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) issued a final rule to help investment advisers...

Private Fund Rule Update

The Division of Examinations (Exams) published a Risk Alert (attached) to help broker-dealers prepare for an examination. The Risk Alert...

Earlier today, United States Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) fully vacated the Private Fund Adviser Rules...

After more than 20 years and multiple iterations (proposals in 2015 and 2003 which were subsequently withdrawn), on February 15, 2024,...

The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...

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...

We are pleased to announce that our Chief Executive Officer, Elizabeth Hamilton-Guarino, 53, has been named a Top 50 Women CEO of 2022....

We are pleased to announce we are now a member of the National Society of Compliance Professionals ("NSCP"). Our President and CCO,...

Compliance4's Elizabeth Hamilton Guarino awarded the ‘Excellence in Finance Leaders’ award at FiNext Conference.

SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.

SEC Advertising Proposal Announced

Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.

On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...

Compliance4 president and Chief Compliance Officer, Peter R. Guarino, was quoted in the September 17, 2018 edition of IA Watch, the...

On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The...