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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Admin
- Oct 27
- 2 min
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....
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,...
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.
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.
Admin
- Oct 30, 2019
- 1 min
SEC Advertising Rule Proposal Announced
SEC Advertising Proposal Announced
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.
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...
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...
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...
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...
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...
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...
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...
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...
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...
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...
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...
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)...
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...
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