Compliance4's Elizabeth Hamilton Guarino awarded the ‘Excellence in Finance Leaders’ award at FiNext Conference.

SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.

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