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.
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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...
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...
Admin
- Feb 16, 2018
- 2 min
SEC to Hold National Compliance Outreach Seminar
Press Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment...
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