On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages advisers to review their risks, practices, policies and procedures regarding electronic messaging. The alert also urges advisers to consider any improvements to their compliance programs that would help them comply with applicable regulatory requirements. New communications and social channels empower advisers and their employees to send informati
Compliance4 president and Chief Compliance Officer, Peter R. Guarino, was quoted in the September 17, 2018 edition of IA Watch, the premier compliance weekly briefing for compliance news, guidance and best practices. Here is the full article: If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and asking lots of questions. This is just one of the hot developments currently taking place on exa
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
Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, fund boards and hedge fund managers on a one-time or recurring basis. Compliance4 also offers a "Compliance Check-Up" with a “Compliance RX”. Our Compliance Check-Up involves an onsite visit to conduct a baseline compliance "health" screening of your compliance program to help you maximize the organizational value of your compliance efforts. The
Please welcome Dave Carson as a guest the Compliance4 Podcast, airing February 20, 2018. To listen to the show live, call us at (516) 531-9232 or click on the link below to listen from your device. All free replays are available from the link below. Dave joined Ultimus in 2013. As Director of Client Strategies, Dave's primary responsibilities include managing the series trust product line, providing expert assistance to investment managers considering starting a fund, and s
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 (516) 531-9232 or click on the link below to listen from your device. All free replays are available from the link below. About Norm Champ: Norm Champ is a partner in the New York office of Kirkland & Ellis LLP. Norm is a member of the Investment Funds Group. Previously, Norm was the director of the Division of Investment Management at the
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