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    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
    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
    15 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
    39 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

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