Peter R. Guarino

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.

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.

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...

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...

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...

Compliance Check-Up

Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, fund...

Welcome to the Compliance4 Blog

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