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    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
    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
    11 views0 comments

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