Admin
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...
top of page
Search
Admin
- Jun 6
- 1 min
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...
Admin
- Jun 5
- 3 min
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After more than 20 years and multiple iterations (proposals in 2015 and 2003 which were subsequently withdrawn), on February 15, 2024,...
Admin
- Oct 27, 2022
- 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....
bottom of page