• Home

  • About Us

    • Our Team
    • About Us
  • Our Services

    • Investment Adviser
    • Investment Companies
    • Electronic Communications
    • Social Media Consulting & Reviews
    • Compliance Check-Up
  • Compliance4 Podcast

  • Blog

  • Forum

  • Members

  • More

    Use tab to navigate through the menu items.
    • Black Facebook Icon
    • Black Twitter Icon
    • linkedin

    Phone: 207-747-5934

    • All Posts
    • Getting Started
    • Your Community
    • Compliance4 podcast
    • Compliance Check-Up
    • podcast guests
    • authors
    • Compliance Consulting
    • Peter R. Guarino
    • ICI
    • N-PORT
    • Liquidity Risk Management Rule
    • SEC Announcements
    • IA Watch
    • Elizabeth Hamilton-Guarino
    • Social Media Training and Coaching
    • Keep Current Blog
    Search
    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.
    103 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
    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.
    32 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 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
    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 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
    30 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 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
    107 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 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
    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 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
    28 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 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
    7 views0 comments

    info@compliance4.com

    • White Facebook Icon
    • Compliance4 on Twitter
    • linkedin

    ©2020 by Compliance4, LLC

    .