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.
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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.
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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.
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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 revisions simplify reporting by funds to the SEC and shareholders. We strongly support the SEC’s rule adoption to replace N-PORT’s public disclosure of aggregate liquidity classification information with a narrative disclosure of a fund’s liquidity risk management program in a shareholder report as well as keep fund aggregate liquidity data f
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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 the Top Compliance Trends and the SEC Agenda for Funds: What the Mutual Fund and ETF Industry is Watching. To listen, call us at (516) 531-9232 or click for live access or free replays: http://www.blogtalkradio.com/compliance4/2018/07/23/susan-olson-tamara-salmon--top-compliance-trends-sec-agenda-for-funds It’s a dynamic time in the world of
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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 replay. To listen to our free replay click on the episode below. About David Lui: David Lui is the Co-Editor of Modern Compliance, an 835-page treatise focusing on best practices for compliance with American securities and financial services requirements. The book is published and distributed by Wolters Kluwer Financial Services and contain
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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 designed to improve the reporting and disclosure of liquidity information by registered open-end funds. In light of concerns about the usefulness of that information for investor, the amendments essential spare mutual funds from having to tell shareholders how they bucket the liquidity of their holdings and now will allow funds to provide a
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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 Form N-LIQUID. You can read the interim final rule here: https://www.sec.gov/rules/interim/2018/ic-33010.pdf The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of Rule 22e-4 for classification, highly liquid investment minimum ("HLIM"), and board approval, as well as r
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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 always easy. Compliance4 is a boutique regulatory compliance consulting firm based in Portland, Maine. We are a leader in the compliance and regulatory services industry by offering expert compliance services and high quality comprehensive regulatory solutions.
We offer superior outsourced compliance resources and expertise, designed to be
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