• 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.
    104 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
    SEC Advertising Rule Proposal Announced
    Admin
    • Oct 30, 2019
    • 1 min

    SEC Advertising Rule Proposal Announced

    SEC Advertising Proposal Announced
    101 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.
    33 views0 comments
    How Not to Get Zapped by Electronic Communications
    Admin
    • Dec 18, 2018
    • 2 min

    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 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
    13 views0 comments
    IA Watch: Exam roundup: Hot Issues OCIE’s Pursuing with Your Peers
    Admin
    • Sep 18, 2018
    • 5 min

    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 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
    16 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
    Compliance Check-Up
    Admin
    • Apr 27, 2018
    • 2 min

    Compliance Check-Up

    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
    40 views0 comments
    Compliance4 Podcast - Dave Carson - Ultimus Fund Solutions
    Admin
    • Feb 11, 2018
    • 1 min

    Compliance4 Podcast - Dave Carson - Ultimus Fund Solutions

    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
    11 views0 comments
    Compliance4 Podcast - Norm Champ
    Admin
    • Jan 22, 2018
    • 3 min

    Compliance4 Podcast - Norm Champ

    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
    9 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

    .