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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

Press Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers (Feb 13) The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers. The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and