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    Compliance4's Peter R. Guarino joins NSCP
    Admin
    • Feb 10, 2020
    • 2 min

    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,...
    83 views0 comments
    Elizabeth Hamilton Guarino awarded the ‘Excellence in Finance Leaders’ award at FiNext Conference
    Admin
    • Nov 11, 2019
    • 3 min

    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.
    104 views0 comments
    SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
    Admin
    • Nov 6, 2019
    • 3 min

    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.
    160 views0 comments
    SEC Advertising Rule Proposal Announced
    Admin
    • Oct 30, 2019
    • 1 min

    SEC Advertising Rule Proposal Announced

    SEC Advertising Proposal Announced
    101 views0 comments
    Keep Current with Compliance - 4 Topics for June 2019
    Admin
    • Jun 5, 2019
    • 3 min

    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.
    33 views0 comments
    How Not to Get Zapped by Electronic Communications
    Admin
    • Dec 18, 2018
    • 2 min

    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...
    13 views0 comments
    IA Watch: Exam roundup: Hot Issues OCIE’s Pursuing with Your Peers
    Admin
    • Sep 18, 2018
    • 5 min

    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...
    15 views0 comments
    It's Not Over Until It's Over - Liquidity Risk Classification Outreach Continues!
    Admin
    • Jul 24, 2018
    • 5 min

    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...
    21 views0 comments
    Compliance4 Podcast - Susan Olson & Tamara Salmon - Top Compliance Trends & SEC Agenda for F
    Admin
    • Jul 18, 2018
    • 1 min

    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...
    31 views0 comments
    Compliance4 Podcast - David Lui - Compliance Controls for Advisers &  Other Industries
    Admin
    • May 4, 2018
    • 1 min

    Compliance4 Podcast - David Lui - Compliance Controls for Advisers & Other Industries

    The Compliance4 Podcast is pleased to welcome David Lui to our show! Our episode aired live on Blogtalkradio and is now available on free...
    107 views0 comments
    Compliance Check-Up
    Admin
    • Apr 27, 2018
    • 2 min

    Compliance Check-Up

    Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, fund...
    40 views0 comments
    SEC is Listening to the Mutual Fund Industry and Requests Comments
    Admin
    • Mar 19, 2018
    • 3 min

    SEC is Listening to the Mutual Fund Industry and Requests Comments

    On Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is...
    9 views0 comments
    SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule
    Admin
    • Feb 23, 2018
    • 2 min

    SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule

    The SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...
    30 views0 comments
    SEC to Hold National Compliance Outreach Seminar
    Admin
    • Feb 16, 2018
    • 2 min

    SEC to Hold National Compliance Outreach Seminar

    Press Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment...
    8 views0 comments
    SEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under Consideration
    Admin
    • Feb 16, 2018
    • 1 min

    SEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under Consideration

    From: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME...
    10 views0 comments
    Social Media Perspectives - Build a Network of Trust
    Admin
    • Feb 11, 2018
    • 8 min

    Social Media Perspectives - Build a Network of Trust

    Social Media is an extension of in-person marketing, meetings and more. From recommending a good book - to a business meeting - to...
    20 views0 comments
    Compliance4 Podcast - Dave Carson - Ultimus Fund Solutions
    Admin
    • Feb 11, 2018
    • 1 min

    Compliance4 Podcast - Dave Carson - Ultimus Fund Solutions

    Please welcome Dave Carson as a guest the Compliance4 Podcast, airing February 20, 2018. To listen to the show live, call us at (516)...
    10 views0 comments
    Compliance4 Podcast - Norm Champ
    Admin
    • Jan 22, 2018
    • 3 min

    Compliance4 Podcast - Norm Champ

    Please welcome Norm Champ as our first guest on the Compliance4 Podcast, airing February 1, 2018. To listen to the show live, call us at...
    9 views0 comments
    Welcome to the Compliance4 Blog
    Admin
    • Jan 22, 2018
    • 4 min

    Welcome to the Compliance4 Blog

    Welcome to Compliance4. We are committed to excellence. At Compliance4, we understand that regulatory oversight and compliance are not...
    7 views0 comments

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